| 23-00325 | 09/22/2023 | Claimant(s): Alexander Soifer
Claimant Lawyers(s): Alexander Nation Soifer
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Kirtley M. Thiesmeyer, Thomas James Norman, Robert D. Coviello
Hearing Site: Los Angeles, CA
|  | $17,300 |
| 23-01269 | 09/22/2023 | Claimant(s): Calena Terry
Claimant Lawyers(s): Calena Terry
Respondent(s): Truist Investment Services., Paula Allen
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | $0 |
| 21-02335 | 09/19/2023 | Claimant(s): Estate of Catherine Nicholson
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Anna K. Stark
Arbitrator(s): Steven N. Ainbinder, Kimberly A. Gilmour, Stephen John Gohlke
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-02839 | 09/18/2023 | Claimant(s): David Vosicher, David S. Vosicher IRA Rollover, David S. Vosicher IRA Roth
Claimant Lawyers(s): David S. Vosicher
Respondent(s): George Strong, Strong Wealth Management LLC
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Robert B. Hansohn, Richard Andrew Roupoli, Andrew Levy
Hearing Site: Los Angeles, CA
| | $150,000 |
| 22-02623 | 09/18/2023 | Claimant(s): Charles Irvine
Claimant Lawyers(s): Lars Soreide
Respondent(s): Geneos Wealth Management
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Sandra L. Malek, Franklin Delano Dodge, Blake Rayfield
Hearing Site: Phoenix, AZ
| | Expungement |
| 22-01761 | 09/15/2023 | Claimant(s): The Reed Family Trust
Claimant Lawyers(s): Jorge Altamirano
Respondent(s): Ages Financial Services, Ltd.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Linda J. Baer
Hearing Site: Manchester, NH
| | $0 |
| 22-02691 | 09/15/2023 | Claimant(s): Rechard Banks-Davis
Claimant Lawyers(s): Rechard Antonio Banks-Davis
Respondent(s): Austin Witt, Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Michael S. Jordan
Hearing Site: Chicago, IL
| | $0 |
| 21-02742 | 09/15/2023 | Claimant(s): Klenell Jensen
Claimant Lawyers(s): Brian Edwin Lahti
Respondent(s): Daniel Mann, Kyle Kirwan, Cornerstone Wealth Management
Respondent Lawyers(s): R. Bradley Ziegler
Arbitrator(s): Paul H. Lamboley, David L. Moran, Tina Alison Davis
Hearing Site: Salt Lake City, UT
| | Expungement |
| 21-02571 | 09/14/2023 | Claimant(s): Harold Mellin as Trustee, Suzanne Mellin as Trustee
Claimant Lawyers(s): Andrew M. Greenidge
Respondent(s): Faith Xenos, Mariner
Respondent Lawyers(s): Howard J. Rosenburg
Arbitrator(s): Monica I. Salis, William Kent Brown, Daniel Nathan Schatz
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-02842 | 09/13/2023 | Claimant(s): Sigmund Rogich, Stephen Sameroff, Robert Castiglione & Marilyn Castiglione, The Rogich 2004 Family Irrevocable Trust
Claimant Lawyers(s): Sam Schwartz
Respondent(s): David Turetzky, Morgan Stanley
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): Edward F. Zagajeski, Megan Brillault, John Warner Lowe
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
