| 23-03484 | 10/10/2024 | Claimant(s): Annmarie Cronin
Claimant Lawyers(s): Michael J. DeSantis
Respondent(s): Fidelity Brokerage Services LLC, Empower Retirement LLC
Respondent Lawyers(s): Daniel C. Fleming, Rebecca E. Swenson
Arbitrator(s): Terrance J. Nolan
Hearing Site: New York, NY
|  | $39,731 |
| 24-00059 | 10/09/2024 | Claimant(s): Doris Schake, Jason Schake
Claimant Lawyers(s): Doris Schake
Respondent(s): OSAIC Wealth
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Peter N. Thompson, LaVon C. Phillips, Ansis Viksnins
Hearing Site: Minneapolis, MN
| | $0 |
| 23-03068 | 10/08/2024 | Claimant(s): Michael Loren Koehler IRA 401K Plan
Claimant Lawyers(s): Roberta Ann Koehler
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin Sinclair
Arbitrator(s): Douglas J. Nesbit, Phyllis Karasov, William M. Azkoul
Hearing Site: Minneapolis, MN
| | $300 |
| 22-02774 | 10/08/2024 | Claimant(s): Carol Sbarbaro
Claimant Lawyers(s): Carol L. Sbarbaro
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lawrence G. Barbot
Arbitrator(s): Michael J. Ahlstrom, Mimi B. Osiason, Dana Tait Sandlin
Hearing Site: Columbia, SC
| | Expungement |
| 23-00609 | 10/07/2024 | Claimant(s): Andrew Voegeli, Helene Hott, Clois E. Shook and Valeria A. Shook, The Warren And Donna Voegli Family Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Eric Dec, James Kent, Emerson Equity LLC
Respondent Lawyers(s): Chad Weaver, Eric John Dec, George L. Guerra
Arbitrator(s): Mimi B. Osiason, Candi M. Rowen, Kevin M Schmitt
Hearing Site: Tampa, FL
| | Expungement |
| 22-02857 | 10/07/2024 | Claimant(s): David Wojcik, David R. Wojcik IRA
Claimant Lawyers(s): Chase Carlson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Josette Belvedere, Marcia Bonita Gevers, Dianne Marie Onichimowski
Hearing Site: Chicago, IL
| | Expungement |
| 22-02189 | 10/04/2024 | Claimant(s): Stephanie Bokor
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Jeffrey M. Bain, Kimberlee S. Ullner, Henry George Grendell
Hearing Site: Cleveland, OH
| | $0 |
| 20-03701 | 10/04/2024 | Claimant(s): Perella Weinberg Partners
Claimant Lawyers(s): Michael C. Deutsch
Respondent(s): Jason McCoy, Ken McCoy, Mission Coal Funding
Respondent Lawyers(s): Robert C. Harris
Arbitrator(s): Stuart K. Furman, Mauricio Arcadier, Richard Merritt Langway
Hearing Site: Orlando, FL
| | $626,250 |
| 23-01288 | 10/03/2024 | Claimant(s): Elizabeth Deluca, Louis Deluca, UBS.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): John B. Sochacki, Stephanie Jeannette Charny, Gustavo Gutierrez
Hearing Site: Boca Raton, FL
| | $14,266,100 |
| 24-00167 | 10/02/2024 | Claimant(s): Kathleen Laymac
Claimant Lawyers(s): James Laymac
Respondent(s): Robert Rosenstein, Tim Moody, Moody Capital Solutions.
Respondent Lawyers(s): Anne T. Freeland, Tim Moody
Arbitrator(s): Gary J. Leshaw, Harvey R. Linder, Charles Boyd Mathes
Hearing Site: Atlanta, GA
| | Dismissed by Rule 12504 |
