18-00048 | 01/21/2021 | Claimant(s): Ann Tutundjian, John Mugan, Susan Tutundjian-Mugan Claimant Lawyers(s): Stefan Apotheker Respondent(s): David Lerner Associates. Respondent Lawyers(s): Michael G. Shannon Arbitrator(s): Meah Rothman Tell, Richard W. Epstein, Marvin S. Lava Hearing Site: Boca Raton, FL
| | Expungement |
20-02276 | 01/21/2021 | Claimant(s): Linda Willson Claimant Lawyers(s): Linda Stout Willson Respondent(s): David Miller, Eric Burnette, Shelley Eddy, Peachcap Securities. Respondent Lawyers(s): Gregg Breitbart Arbitrator(s): John F. Allgood Hearing Site: Atlanta, GA
| | $300 |
19-02278 | 01/20/2021 | Claimant(s): Keith J. Lilek Declaration of Trust, Teresa Lilek Declaration of Trust Claimant Lawyers(s): Jacob H. Zamansky Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Anthony J. Borrelli Arbitrator(s): Patricia Joanne Branco, David A. Schuler, Lawrence R. Rute Hearing Site: Kansas City, MO
| | Expungement |
20-01028 | 01/13/2021 | Claimant(s): Diane Ranck, Robert Ranck Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc Respondent Lawyers(s): Cory D. Olson Arbitrator(s): Tracy L. Allen, Alain Frecon, John Edward Jackson Hearing Site: Des Moines, IA
| | Dismissed by Rule 12206 |
19-00913 | 01/12/2021 | Claimant(s): Martin Gerstenbluth Claimant Lawyers(s): James Thomas McCarthy Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Erin B. Sinclair Arbitrator(s): Paul Allan Massaro Hearing Site: Jersey City, NJ
| | $0 |
19-01170 | 01/08/2021 | Claimant(s): Stuart Beinhacker Claimant Lawyers(s): Adam J. Weinstein Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Regina Pepe Martorana Arbitrator(s): Clarence Smith, Donna Christina Chin, Elisse R. Stern Hearing Site: New York, NY
| | Expungement |
19-02885 | 01/07/2021 | Claimant(s): Judith Thumann Claimant Lawyers(s): John Da Grosa Smith Respondent(s): Kevin Larson, Kimberley Holweger, Marcelino Alicea, Cetera Advisors LLC., Financial Fidelity Services. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Michael J. Ahlstrom, Alan C. Granath, George Pinckney Shingler Hearing Site: Atlanta, GA
| | Expungement |
20-01189 | 01/07/2021 | Claimant(s): Valeria Blanchard Claimant Lawyers(s): Lauren B. Koch Respondent(s): First Financial Equity Corporation Respondent Lawyers(s): Jason L. Cassidy Arbitrator(s): David I. Levine, Mary H. Evans, Arocles Aguilar Hearing Site: Reno, NV
| | Dismissed by Rules 12200, 12201, and 12504 |
19-02389 | 01/06/2021 | Claimant(s): Jean Johnson, Pamela Johnson, Thomas Johnson Claimant Lawyers(s): William B. Young Respondent(s): Charles Hall, Kingsbury Capital. Respondent Lawyers(s): Benjamin B. Coulter, Peter B. King Arbitrator(s): Stuart K. Furman, Thomas Joseph Atkinson, Gayle B. Carlson Hearing Site: Orlando, FL
| | Expungement |
20-01681 | 01/06/2021 | Claimant(s): Cynthia Foster, Cynthia M. Foster IRA Claimant Lawyers(s): Kirk G Smith Respondent(s): Kovack Securities Inc, Susan Penney Respondent Lawyers(s): Debra A. Jenks Arbitrator(s): Raymond C. Kerr, Randy Paul Bowser, Ben Hilfiger Hearing Site: Oklahoma City, OK
| | Expungement |