| 23-02425 | 01/26/2024 | Claimant(s): Kayla Nguyen
Claimant Lawyers(s): Kayla Nguyen
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Dallas, TX
|  | $0 |
| 22-02492 | 01/25/2024 | Claimant(s): David Pritchett
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): Guno Orlando Ritfeld, Mary Ann Etzler, Jorge R Quintana
Hearing Site: Orlando, FL
| | $15,479 |
| 22-02447 | 01/24/2024 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Donald McKiernan, William O'Connor, Landolt Securities.
Respondent Lawyers(s): Lloyd R. Schwed, William Raymond O'Connor
Arbitrator(s): Leon Fox, Kimberly Ann Powers, Dennis Elverman
Hearing Site: Milwaukee, WI
| | Expungement |
| 23-00627 | 01/22/2024 | Claimant(s): Barbara Violette
Claimant Lawyers(s): Barbara A. Violette
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Catherine Stewart
Hearing Site: Augusta, ME
| | $0 |
| 23-02316 | 01/22/2024 | Claimant(s): Harvey Frey
Claimant Lawyers(s): Harvey S. Frey
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Edward A. Trabin
Hearing Site: Los Angeles, CA
| | $163 |
| 21-01042 | 01/19/2024 | Claimant(s): Andrea Bollakis, Richard Molsby
Claimant Lawyers(s): Cameron D. Bordner
Respondent(s): Wells Fargo Clearing Services, Megan Phillips, Michael Garner, Theodore Rich, Thomas Metzger
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Carol Ann Jensen, Arocles Aguilar, Kevin C. Coleman
Hearing Site: Reno, NV
| | $0 |
| 20-01177 | 01/19/2024 | Claimant(s): Cecilia De Oliveira
Claimant Lawyers(s): David Miller
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-02375 | 01/19/2024 | Claimant(s): Lana Baselt, Estate of Randall Baselt
Claimant Lawyers(s): Jared Peterson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Scott E. Rahn
Arbitrator(s): Joseph Howard Cooper, Erik R. Siering, Olivia J. Valentine
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12212© and 12511(b) |
| 23-02157 | 01/18/2024 | Claimant(s): Eric Johnson
Claimant Lawyers(s): Eric Johnson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kevin S. Blume
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
| | $0 |
| 22-02893 | 01/17/2024 | Claimant(s): Daniel Walter
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Richard W. Dissen
Hearing Site: Buffalo, NY
| | Expungement |
