| 23-00739 | 08/30/2024 | Claimant(s): Rosalie Balhan
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Edward Jones
Respondent Lawyers(s): Michelle D. Nasser
Arbitrator(s): Lynn Hirschfeld Brahin, John L. Krauss, David Joseph Remondini
Hearing Site: Indianapolis, IN
|  | Dismissed by Rule 12700(a) |
| 22-01294 | 08/28/2024 | Claimant(s): Jane Hagelstein, Jane A. Hagelstein Roth IRA
Claimant Lawyers(s): Darlene Pasieczny
Respondent(s): Caryn Alles, Morgan Stanley
Respondent Lawyers(s): Emily Z. Culbertson
Arbitrator(s): John M. Casey, Bryon Scott, Crystal Rose O'Grady
Hearing Site: Portland, OR
| | $0 |
| 21-01883 | 08/27/2024 | Claimant(s): Brock E. Milstein Trustee FBO Trust
Claimant Lawyers(s): David E. Robbins
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Carrie M. Stickel
Arbitrator(s): Robert M. Shwab, Robert H. Baker, Kevin Brodar
Hearing Site: Cleveland, OH
| | $0 |
| 22-02807 | 08/27/2024 | Claimant(s): Chrisandra Delesky, Jonathan Provoost
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Paul Allan Massaro, Jay Alan Kranis, David Patrick Syring
Hearing Site: Jersey City, NJ
| | Expungement |
| 24-00940 | 08/27/2024 | Claimant(s): Tashay Myrick
Claimant Lawyers(s): Tashay Myrick
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Thomas P. Valenti
Hearing Site: Chicago, IL
| | $0 |
| 23-01087 | 08/27/2024 | Claimant(s): Scott Berenson
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Nancy J. Cliff, Richard Kuper, Nancy Rosenbaum Kessler
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-01477 | 08/26/2024 | Claimant(s): Brad Vermilyea
Claimant Lawyers(s): David W. Miller
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Katherine L. Schuerman
Arbitrator(s): Mary C. Davis, Joshua Joseph Paiva, Lynda Riebel
Hearing Site: Denver, CO
| | $117,557 |
| 22-02586 | 08/23/2024 | Claimant(s): Alan Taylor, Albert Konetzni, Allen Bealer, Charles Woods, Christopher Splint, Constantino Gabrie, Daniel Smith, David Parta, David Shipman, David Thompson, Doug Austin, Eddie Yaklin, George Economos, Gerald Nelson, Guy Tiner, Huxley Richardson, John Friesen, John Griffin, John Restivo, John Ritzenthaler, John Trobaugh, Larry Pitts, Linda Dahl, Mitchell Dorfman, Paul Randall, Robert Bushman, Robert Pollard, Robert Tobey, Roger Kriete, Ronald Chernenko, Shirley Konetzni, Stephen Collins, Steve Huddleston, Thomas Riddle, Thomas Rothe, Thomas Skjold
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): SW Financial
Respondent Lawyers(s): Bruce Boyle
Arbitrator(s): David Aaron DeSoto, Brucus Owdley, Nile Bailey Copeland
Hearing Site: Houston, TX
| | $13,476,100 |
| 23-03373 | 08/22/2024 | Claimant(s): Vincent Gramuglia
Claimant Lawyers(s): Vincent Gramuglia
Respondent(s): Stephen Kyne, Cadaret, Grant & Co..
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Kenneth Dymond
Hearing Site: Albany, NY
| | $0 |
| 24-00677 | 08/22/2024 | Claimant(s): Samuel Harbaugh
Claimant Lawyers(s): Paul E. Parrish
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brandy Fernandez
Arbitrator(s): Mimi B. Osiason
Hearing Site: Orlando, FL
| | Dismissed by Rule 12206 |
