| 22-02272 | 10/11/2023 | Claimant(s): Patrick Hanratty
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers, Jr.
Arbitrator(s): Mark A. Myers
Hearing Site: New Orleans, LA
|  | Expungement |
| 23-01529 | 10/09/2023 | Claimant(s): Debora Scholl
Claimant Lawyers(s): Debora Scholl
Respondent(s): Alexis Cain, Lincoln Investment
Respondent Lawyers(s): Matthew Sherlock, Sean L. Corgan
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | $0 |
| 22-02881 | 10/05/2023 | Claimant(s): SoFi Securities LLC
Claimant Lawyers(s): Michele R. Underwood
Respondent(s): Steven Bragg
Respondent Lawyers(s): Steven Bragg
Arbitrator(s): David A. Schuler
Hearing Site: Birmingham, AL
| | $0 |
| 18-02134 | 10/05/2023 | Claimant(s): Rocky Vista University, Yife Tien Irrevocable Dynasty Trust
Claimant Lawyers(s): Jonathan B. Butler
Respondent(s): Aaron Lupuloff, Stifel, Nicolaus & Co.., Jandra Lubovich, Jon Cooper, Intl Fcstone Financial Inc.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Meah Rothman Tell, Seth L. Finkel, Nanci Sondra Landy
Hearing Site: Miami, FL
| | $0 |
| 22-02882 | 10/03/2023 | Claimant(s): Charla Duncan
Claimant Lawyers(s): Jonathan Schwartz
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | Expungement |
| 22-00960 | 10/02/2023 | Claimant(s): Woodie T. Barnes & Lori J. Barnes
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Jeff Kilgore, June Ann Mann, Stanley Edward Williams
Hearing Site: Houston, TX
| | Expungement |
| 21-01865 | 10/02/2023 | Claimant(s): Edward Quam, Faun Doherty, Gudryn Doherty
Claimant Lawyers(s): Frank C. Botta
Respondent(s): Daniel Levine, Morgan Stanley
Respondent Lawyers(s): Daniel Todd Levine, Nicholas J. Hernandez
Arbitrator(s): James T. Carney, Mary Mackey, Thomas J Zahren
Hearing Site: Pittsburgh, PA
| | Expungement |
| 23-00726 | 09/28/2023 | Claimant(s): Julia Fasano
Claimant Lawyers(s): Julia N. Fasano
Respondent(s): Carol Dahl
Respondent Lawyers(s): Ellen M. Murphy
Arbitrator(s): Cynthia Kouril
Hearing Site: New York, NY
| | $20,425 |
| 20-02205 | 09/27/2023 | Claimant(s): Sidney Kruger Living Trust
Claimant Lawyers(s): Jonathan Noble David
Respondent(s): Wells Fargo Advisors, Mara Schainuck, Sharon Miller
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Seth L. Finkel, Sydney E. Blum, Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-00133 | 09/27/2023 | Claimant(s): Aaron Siegel, Aaron Siegel Rev. Trust DTD 02/19/2004
Claimant Lawyers(s): Aaron Siegel
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Robert J. Scafuri, Mark Leslie Small, Matt Bosco
Hearing Site: Detroit, MI
| | Dismissed by Rule 12212© |
