| 22-01398 | 10/23/2024 | Claimant(s): Daniel Simon
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): John Schlagheck
Respondent Lawyers(s): John Francis Schlagheck
Arbitrator(s): Leonard M. Goldstein, Dennis C Moore, Craig Zofchak
Hearing Site: Denver, CO
|  | $122,402 |
| 23-01004 | 10/22/2024 | Claimant(s): Douglas McCredy, Gregory Dente
Claimant Lawyers(s): Ryan Cook
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Louis Arnold Russo
Hearing Site: Jersey City, NJ
| | Expungement |
| 22-02533 | 10/22/2024 | Claimant(s): Bruce Gallagher, Kathleen Gallagher, on behalf of his IRA, on behalf of her IRA, Bruce and Kathleen Gallagher, jointly
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Richard S. Zaifert, David M. Snyder, Carolyn E. Moore
Hearing Site: Tampa, FL
| | Expungement |
| 23-03231 | 10/21/2024 | Claimant(s): Anita Marchesani, Colleen Stremel, Douglas Hodczak, Frank Marchesani, Lauren LaPlante-Rottman IRA, Scotty Beevers
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): John Pisapia, Chelsea Financial Services
Respondent Lawyers(s): Michael Utilla
Arbitrator(s): Denise L. Presley, Gene M. Bauer, John George Neylon
Hearing Site: Boston, MA
| | Dismissed by Rule 12206(a) |
| 23-01092 | 10/18/2024 | Claimant(s): Dale Duchscherer
Claimant Lawyers(s): Brandon Dei
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Craig A. Riha
Arbitrator(s): Steven A. Harris, Michael S. Lazan, Cheung David Chhieng
Hearing Site: New York, NY
| | $0 |
| 23-01792 | 10/18/2024 | Claimant(s): Willard Holgate, Willard G. Holdgate SEP IRA, Willard G. Holgate IRA
Claimant Lawyers(s): Samuel Edwards
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Elena Dilorio, Phyllis Ann Diamond, Temitope Oluyomi Popoola
Hearing Site: Houston, TX
| | $106,468 |
| 24-01182 | 10/16/2024 | Claimant(s): Lawrence F. Yuerhs Revocable Trust
Claimant Lawyers(s): Lawrence F. Yuerhs
Respondent(s): MML Investors Services
Respondent Lawyers(s): Neil Marchand
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
| | $0 |
| 19-01859 | 10/15/2024 | Claimant(s): Anna Barbalace, Ivan Tong, Jason Paulley, John Alessandro, Leah Barbalace, Sandra Diaz
Claimant Lawyers(s): Gary Menzer
Respondent(s): Demetrios Mallios, Kevin Barbalace, Aeon Capital Inc., Corinthian Partners, L.L.C.
Respondent Lawyers(s): Demetrios Mallios, Kevin Lawrence Barbalace, Richard Calabrese, Vincent Bruno
Arbitrator(s): Mauricio Arcadier, Edgar Vazquez-Cruz, Shameeka E. Quallo
Hearing Site: Orlando, FL
| | $0 |
| 23-01559 | 10/11/2024 | Claimant(s): Tyler Hanson, Raymond David Hanson Residuary Trust
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Thomas R. Dreiling, James E. Bartels, Dianna J. Caley
Hearing Site: Seattle, WA
| | $0 |
| 23-03215 | 10/11/2024 | Claimant(s): Shanita Gray, Dinner with the Grays Incorporated
Claimant Lawyers(s): Shanita R. Gray
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): John James Rubin, Susan Warshauer Kennicott, Elizabeth Berry West
Hearing Site: Atlanta, GA
| | $0 |
