| 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 |
| 22-00154 | 07/31/2023 | Claimant(s): Rami Alrwais
Claimant Lawyers(s): Rami Alrwais
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Barbara M. Zak, Marc David Wilde, Robert D. Coviello
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12511/12212 |
| 22-00084 | 07/31/2023 | Claimant(s): Eric Garofano, The Advisory and Management Group.
Claimant Lawyers(s): Aaron Israels
Respondent(s): Sean McDevitt
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Michael Harrison, Richard Maurice Robinson, McKinley Perkins
Hearing Site: Los Angeles, CA
| | Expungement |
| 22-00951 | 07/28/2023 | Claimant(s): Holden Green
Claimant Lawyers(s): Holden Green
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Ralph A. Cotton, William W. Haskell, Lowell H. Haky
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12504/12212 |
| 20-01120 | 07/26/2023 | Claimant(s): Health and Wellness Lifestyle Club LLC
Claimant Lawyers(s): Richard Frankowski
Respondent(s): Carolyn Valentine, H. Beck.
Respondent Lawyers(s): Joseph C. Campo, Richard A. D'Amura
Arbitrator(s): Mark R. Lee, George Richard Najjar, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | $0 |
| 20-03379 | 07/26/2023 | Claimant(s): Andrew Wysocki, Dean Wysocki
Claimant Lawyers(s): Michael Hill
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Samuel H. Chorches, Peter E. Gillespie, Ilene J Feldman
Hearing Site: Hartford, CT
| | Expungement |
| 23-00296 | 07/24/2023 | Claimant(s): Glenn Siegel, Joy Siegel
Claimant Lawyers(s): Christopher L. Lufrano
Respondent(s): Lucia Securities
Respondent Lawyers(s): Mike West
Arbitrator(s): Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-02968 | 07/24/2023 | Claimant(s): Jefferey B. Lurner, IRA
Claimant Lawyers(s): Jefferey B. Lurner
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Stephen Howard Marcus
Hearing Site: Los Angeles, CA
| | $0 |
| 22-01387 | 07/24/2023 | Claimant(s): Richard Nardone
Claimant Lawyers(s): Damian L. Albergo
Respondent(s): Airinhos Serradas, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Morton S. Bunis, Joan Dawn Hogarth, Laura Engelhardt
Hearing Site: Jersey City, NJ
| | Expungement |
| 22-00748 | 07/21/2023 | Claimant(s): Myles Terry
Claimant Lawyers(s): Myles Edward Terry
Respondent(s): Carla Backus, Ameriprise Financial Services.
Respondent Lawyers(s): Corye Backus, Edward A. Walton
Arbitrator(s): Leah Murray Albert, Teresa A. Dunn, Brian James Tagtmeier
Hearing Site: Little Rock, AR
| | $0 |
