| 22-02719 | 06/09/2023 | Claimant(s): Darrell Heinen, Dave Sutton, Dustin McCurdy, Grant Wells, Harbans Lal, Herbert Nieport, Jerry Grove, Jon Miller, Mark Wells, Marlan Elbert, Richard O'Brien, Wells AG Supply, Richard and Ruth O'Brien
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Kevin Springstead, Louis Pellegriti, Patrick Cavanagh, Terry Tzagarakis
Respondent Lawyers(s): Kevin Francis Springstead, Louis Joseph Pellegriti, Patrick Joseph Cavanagh, Terry Tzagarakis
Arbitrator(s): Philip J. Glick
Hearing Site: Omaha, NE
|  | $1,564,950 |
| 23-00262 | 06/09/2023 | Claimant(s): Jinsong You
Claimant Lawyers(s): Jinsong You
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Travis L. Salmon
Arbitrator(s): Paul Lansing
Hearing Site: St. Louis, MO
| | $600 |
| 21-02354 | 06/09/2023 | Claimant(s): Reid Nagle Revocable Trust
Claimant Lawyers(s): John Fialcowitz
Respondent(s): Charles Schwab & Co.., Rockingstone Advisors
Respondent Lawyers(s): Gordon C. Young, John Fialcowitz
Arbitrator(s): Ellen J. Abrams, Carl Henry Perdue, Mark E. English
Hearing Site: Boca Raton, FL
| | $0 |
| 21-02879 | 06/08/2023 | Claimant(s): Roger Squires
Claimant Lawyers(s): Roger B. Squires
Respondent(s): Laidlaw & Company (UK) Ltd.
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): Morton S. Bunis, Edward W. Morris, Stefan Savic
Hearing Site: New York, NY
| | $0 |
| 22-01872 | 06/08/2023 | Claimant(s): Walter Light
Claimant Lawyers(s): Walter Waitak Light
Respondent(s): Integral Financial LLC
Respondent Lawyers(s): Frank Ho
Arbitrator(s): Helen Marinak Blohm, Timothy P. Bogan, Rosalind Ramsey Tyson
Hearing Site: San Francisco, CA
| | $0 |
| 22-00437 | 06/07/2023 | Claimant(s): Estate of Dolores Sarro
Claimant Lawyers(s): William B. Young
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Stuart K. Furman, Tyrone Nathaniel Watson
Hearing Site: Orlando, FL
| | Expungement |
| 20-01209 | 06/07/2023 | Claimant(s): Len Ventura
Claimant Lawyers(s): Lance C. McCardle
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Joan Maxine Secofsky, Keely D. Parr, Alfred D Peters
Hearing Site: New York, NY
| | Expungement |
| 20-04186 | 06/05/2023 | Claimant(s): Chad Tenkley IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Martin M. Van Luven
Hearing Site: Tampa, FL
| | Expungement |
| 21-00419 | 06/05/2023 | Claimant(s): Robert Simonian
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Irit Walters
Arbitrator(s): Catherine Stewart
Hearing Site: Providence, RI
| | Expungement |
| 22-01166 | 06/05/2023 | Claimant(s): Timothy Hladik
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Edward W. Morris, Peter M Cosel, Jud Perkins
Hearing Site: Providence, RI
| | Dissmissed by Rule 12206/12504 |
