19-02604 | 01/29/2021 | Claimant(s): Jeffrey Mogensen, Rhonda Mogensen Claimant Lawyers(s): Stephan Louviere Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Paul H. Lamboley Hearing Site: Salt Lake City, UT
| | Expungement |
20-02269 | 01/29/2021 | Claimant(s): Liam Glynn Claimant Lawyers(s): Bradley D. Schnur Respondent(s): Network 1 Financial Securities Inc. Respondent Lawyers(s): Joseph C. Cascarelli Arbitrator(s): Sam Antar Hearing Site: New York, NY
| | $0 |
20-02516 | 01/29/2021 | Claimant(s): Adam Langer Claimant Lawyers(s): Ross J. Kartez Respondent(s): Adam Lang, Charles Natt, Morgan Stanley, John Topham Respondent Lawyers(s): Joseph A. Sack Arbitrator(s): Ira A. Auerbach Hearing Site: New York, NY
| | $300 |
20-02945 | 01/29/2021 | Claimant(s): Choicetrade Claimant Lawyers(s): Neville Golvala Respondent(s): Yulier Machado Respondent Lawyers(s): Hossameldin Abdelkarim Arbitrator(s): Arthur H. Geffen Hearing Site: Dallas, TX
| | $0 |
19-01143 | 01/28/2021 | Claimant(s): Howard Barron, Howard Barron Revocable Living Trust, Restated Howard B. Young Revocable Trust Claimant Lawyers(s): Brian Levin Respondent(s): Arete Wealth Management Respondent Lawyers(s): Linda Ieleja Gerstman Arbitrator(s): Raymond J. Sterling, Patrick R. Sughroue, Frank Todd Aiello Hearing Site: Detroit, MI
| | $515,072 |
20-00944 | 01/28/2021 | Claimant(s): Julian Skalski Claimant Lawyers(s): Jonathan Kurta Respondent(s): TD Ameritrade. Respondent Lawyers(s): William M. Turner Arbitrator(s): Thomas R. Watkins, Edward H. Davis, Lynn Vivian Dymally Hearing Site: Los Angeles, CA
| | $685,159 |
20-01862 | 01/27/2021 | Claimant(s): Richard Ramos Claimant Lawyers(s): Richard Ramos Respondent(s): Ted Smail Respondent Lawyers(s): Ted H Smail Arbitrator(s): Steven Gourley, Jeffrey E. Skogsbergh, McKinley Perkins Hearing Site: Los Angeles, CA
| | Expungement |
19-01728 | 01/26/2021 | Claimant(s): Herbert Cohen Claimant Lawyers(s): Christopher J. Gray Respondent(s): National Securities Corporation, Scott Matalon Respondent Lawyers(s): Frank J. Cuccio, Fred Knopf Arbitrator(s): Fern Sue Reidman, Ellyn S. Roth, Anna Lascar Hearing Site: New York, NY
| | Expungement |
19-03321 | 01/25/2021 | Claimant(s): John Holborn Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): David Shapiro, CNL Securities Corp., Cadaret, Grant & Co.. Respondent Lawyers(s): David G. Buffa, Jonathan E. Green Arbitrator(s): Tracy L. Allen, Kathleen P. Helbig-Hannan, Gerald Grace Hearing Site: Buffalo, NY
| | Dismissed by Rule 12206 |
18-04139 | 01/22/2021 | Claimant(s): Jody Chesko, Richard Dorr, Jody Chesko Irrevocable Trust, Richard J. Dorr Irrev. Life Ins. Trust Claimant Lawyers(s): Kevin T. O'Brien Respondent(s): Susan Coriale, GWN, Securities Inc. Respondent Lawyers(s): Erin Maddocks Arbitrator(s): Howard B. Cohen, Gerald W. Hepp, Ronald F Thompson Hearing Site: Buffalo, NY
| | Expungement |