19-02053 | 02/05/2021 | Claimant(s): Beverley Schottenstein, Beverly B. Schottenstein, as Co-Trustee Claimant Lawyers(s): Scott C. Ilgenfritz Respondent(s): Avi Schottenstein, Evan Schottenstein, J.P. Morgan Securities Respondent Lawyers(s): Gabrielle L. Gould, Jonathan J. Brennan, Robert C. Harris Arbitrator(s): James M. Scutti, David Rich, Donna Greenspan Solomon Hearing Site: Boca Raton, FL
| | $18,947,500 |
20-01582 | 02/05/2021 | Claimant(s): Robert Mangine Claimant Lawyers(s): Richard S. Wayne Respondent(s): Charles Schwab & Co.., James Albert Respondent Lawyers(s): Kevin H. Lewis Arbitrator(s): Robert J. Scafuri Hearing Site: Cincinnati, OH
| | Expungement |
19-02415 | 02/04/2021 | Claimant(s): Mary Anne Cunney Claimant Lawyers(s): Alan L. Frank Respondent(s): Amy Curley, Morgan Stanley, Raymond George Respondent Lawyers(s): Andrew Gelfand Arbitrator(s): Elizabeth Gilbert, Eugene G. P. Byrne, Sofia Balile Hearing Site: New York, NY
| | $309,038 |
19-02564 | 02/04/2021 | Claimant(s): Shaheen Aulakh Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith F. Hoffman Arbitrator(s): Matthew Stephen Duchesne Hearing Site: Washington, DC
| | $0 |
20-01970 | 02/04/2021 | Claimant(s): Barbara Minkowitz Claimant Lawyers(s): Barbara Minkowitz Respondent(s): Pershing Advisor Solutions LLC Respondent Lawyers(s): James H. Forte Arbitrator(s): Patricia Kathleen Costello Hearing Site: Jersey City, NJ
| | $0 |
18-04014 | 02/03/2021 | Claimant(s): JC McCall Revocable Trust Claimant Lawyers(s): Gail E. Boliver Respondent(s): Carmine Berardi, Jonathan McCormack, Philip Sparacino, Robert Spiegel, William Gennity, First Standard Financial Company LLC Respondent Lawyers(s): Craig A. Riha, Martin H. Kaplan Arbitrator(s): Alain Frecon Hearing Site: Des Moines, IA
| | $114,383 |
20-03360 | 02/03/2021 | Claimant(s): Gary Mass Claimant Lawyers(s): Gary Mass Respondent(s): TD Ameritrade Clearing., TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): John Michael Bergin Hearing Site: New York, NY
| | $0 |
19-01232 | 02/02/2021 | Claimant(s): Monte G'Sell, Monte Land G'Sell Revocable Living Trust Claimant Lawyers(s): Nelson S. Ebaugh Respondent(s): Thomas Badgett, TradingBlock Respondent Lawyers(s): Martin Schexnayder Arbitrator(s): Sherry R. Wetsch, Maryanne M. Esser, Thomas Deon Warner Hearing Site: Houston, TX
| | $147,642 |
20-02886 | 02/02/2021 | Claimant(s): George Franklin, Wanda Franklin Claimant Lawyers(s): Gavin Rush Respondent(s): AXA Advisors Respondent Lawyers(s): Jason A. Richardson Arbitrator(s): Jeff Abrams, Edward Bradbury Cloutman, Staci Lynette Glenn Hearing Site: Dallas, TX
| | Dismissed by Rule 12206 |
20-03287 | 02/01/2021 | Claimant(s): John Mazuroski Claimant Lawyers(s): Michael J. Giarrusso Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Michael A. Gross Arbitrator(s): George Forest Bingham Hearing Site: Philadelphia, PA
| | $14,600 |