| 22-02756 | 08/14/2023 | Claimant(s): Alan Fong
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
|  | $0 |
| 18-02917 | 08/11/2023 | Claimant(s): Bill Nguyen
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): TD Ameritrade., Nguyen Capital Partners
Respondent Lawyers(s): Neil S. Baritz, W. Andrew Clayton
Arbitrator(s): Langfred W. White, Darryl C. Wilson, Gayle B. Carlson
Hearing Site: Tampa, FL
| | $1,207,550 |
| 12-02144 | 08/11/2023 | Claimant(s): John Dietz, Luis Pernia, Estate of William V. Johnson, Bocagrande Trust, Pienza Trust, dissolved Pernia Family Trust
Claimant Lawyers(s): Victor J. Pioli
Respondent(s): Loria Financial Group, MPS-Loria Financial Planners, RIM Securities LLC, Rochdale Investment Management, Rochdale Offshore Management
Respondent Lawyers(s): Jose A. Lopez, Nicholas P. Iavarone, Ronald P. Kane
Arbitrator(s): Michael S. Matek, Susan L. Walker, Yana Karnaukhov
Hearing Site: Chicago, IL
| | $0 |
| 19-02577 | 08/10/2023 | Claimant(s): K&S Trust
Claimant Lawyers(s): Gary Menzer
Respondent(s): Daniel Lempe, Presidential Brokerage.
Respondent Lawyers(s): Gary Nemer, Scott Holcomb
Arbitrator(s): Charles G. Michaels, Mary C. Davis, Nicole Green
Hearing Site: Denver, CO
| | $0 |
| 23-00608 | 08/07/2023 | Claimant(s): Michael Trotter
Claimant Lawyers(s): Kevin P. Krupnick
Respondent(s): John Lowry, John Winter, Kenneth Casey, Kim Monchik, Louis Ward, Spartan Capital Securities
Respondent Lawyers(s): David A. Schrader, John Michael Winter, Kenneth Francis Casey
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | $0 |
| 22-01275 | 08/07/2023 | Claimant(s): Ray Nuss
Claimant Lawyers(s): Ray Nuss
Respondent(s): Edward Jones
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Rhonda S. McCarthy, Leonard Arthur Nelson, Troy J. Bird
Hearing Site: Omaha, NE
| | Dismissed by Rule 12212 |
| 22-01989 | 08/03/2023 | Claimant(s): Tastyworks.
Claimant Lawyers(s): Thomas G. Haskins
Respondent(s): Tin Tran
Respondent Lawyers(s): Tin Tran
Arbitrator(s): Arthur J. Giacomarra, Michael Jay Rich, Frank Sanclemente
Hearing Site: Boston, MA
| | $204,742 |
| 22-01670 | 08/02/2023 | Claimant(s): Peter Corrick
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Fern M. Laethem
Hearing Site: Las Vegas, NV
| | Expungement |
| 21-03139 | 08/02/2023 | Claimant(s): Catherine Brown, Denise Correia
Claimant Lawyers(s): August M. Iorio
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Gregory Hunter Mathews, Robert M. Singer, Michael R. Ricci
Hearing Site: Hartford, CT
| | Expungement |
| 22-01103 | 08/01/2023 | Claimant(s): Nicholas Donovan, Nicholas & Antonieta Garcia Donovan
Claimant Lawyers(s): Sanford Mitchell Passman
Respondent(s): Herbert Messick, Cetera Advisor Networks LLC
Respondent Lawyers(s): David Smitham
Arbitrator(s): Steven H. Gentry
Hearing Site: Los Angeles, CA
| | Expungement |
