| 21-00713 | 03/21/2023 | Claimant(s): Cary Kneedler, Delphine Baucom, Delphine N. Baucom as Sole Member of, Carry Kneedler, OBO IRA, Delphine Noble Baucom, General Partner, Delphine Noble Baucom. Sole Benefiary of
Claimant Lawyers(s): Frank C. Breese
Respondent(s): Wells Fargo Clearing Services, T. Robertson, William Haas
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): John P. Cullem, Langfred W. White, Susan G. Pinkston
Hearing Site: Jackson, MS
|  | $0 |
| 22-02487 | 03/21/2023 | Claimant(s): Estate of Richard W. Shettle
Claimant Lawyers(s): Greg Shettle
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): William A. Barrett
Hearing Site: Hartford, CT
| | $19,167 |
| 20-00794 | 03/20/2023 | Claimant(s): Jorge Jimenez Buitrago
Claimant Lawyers(s): Jorge E. Jimenez Buitrago
Respondent(s): Citi International Financial Services
Respondent Lawyers(s): John Bustard
Arbitrator(s): Gary M. Landau, Elena G. Rodriguez, Jacalyn R. Murray
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12212© |
| 21-00746 | 03/20/2023 | Claimant(s): Nancy Ellison, Thomas Ellison
Claimant Lawyers(s): Meghan L. McElligott
Respondent(s): Gerald Hast, Titan Securities
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Frances Johnson Wright, Patricia Ann Nolan, Anisha Kinra
Hearing Site: Dallas, TX
| | Expungement |
| 22-01633 | 03/20/2023 | Claimant(s): Marc Knobloch
Claimant Lawyers(s): Michael J. Giarrusso
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): Edith M. Novack
Hearing Site: Jersey City, NJ
| | Dismiss by Rule 12206 |
| 21-00880 | 03/20/2023 | Claimant(s): Calvin Cross, Chareka Cross
Claimant Lawyers(s): Paul J. Pontrelli
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Sonia Balfour-Fears
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Michael J. Ahlstrom, Gwendolyn C. Walker
Hearing Site: Atlanta, GA
| | Expungement |
| 21-01067 | 03/15/2023 | Claimant(s): Christopher Hamby
Claimant Lawyers(s): Robert H Rex
Respondent(s): McNally Financial Services Corporation
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Brian James Tagtmeier, June Ann Mann, Phyllis Ann Diamond
Hearing Site: Houston, TX
| | Expungement |
| 22-01625 | 03/15/2023 | Claimant(s): Lawrence Ford
Claimant Lawyers(s): La Verne C. Simmons
Respondent(s): Pershing LLC, Principal Securities., Principal Financial Group
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): William W. Haskell, David I. Levine, Michael D. Briggs
Hearing Site: San Francisco, CA
| | $0 |
| 19-00737 | 03/15/2023 | Claimant(s): Johanna Vandermark, Living Trust, Joanna Vandermark Trustee, Vandermark Credit Shelter Trust, Karen Y
Claimant Lawyers(s): Fred B. Monroe
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan Neerman
Arbitrator(s): Douglas Earl McLaren, Jason Alexander Diamond, GianDomenico Sarolli
Hearing Site: Charlotte, NC
| | $776,149 |
| 21-01270 | 03/14/2023 | Claimant(s): Larry Weisman, Weisman Enterprises Limited Partnership
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Charles Reiling, David Monahan, Francis Skinner, Luke Johnson, Matthew Rakerd, Coastal Equities., Coastal Investment Advisors., Legend Capital Group.
Respondent Lawyers(s): Amir Tadjedin, Mickey B. Wright
Arbitrator(s): Deana S. Peck, Floyd Gerry Hoffman, Jerome Allan Landau
Hearing Site: Phoenix, AZ
| | Expungement |
