| 21-00524 | 03/24/2023 | Claimant(s): Tyron Smith
Claimant Lawyers(s): Susan J. Foster
Respondent(s): William Saplicki, First Allied Advisory Services., First Allied Securities.
Respondent Lawyers(s): John P. Kincade
Arbitrator(s): Frances Johnson Wright, Joseph A. Vicario, Ye Whei Peter Chen
Hearing Site: Dallas, TX
|  | Expungement |
| 22-02094 | 03/24/2023 | Claimant(s): Tradestation Securities.
Claimant Lawyers(s): Steven M. Greenbaum
Respondent(s): Marc Pozzuoli
Respondent Lawyers(s): Marc D. Pozzuoli
Arbitrator(s): Vlad Gerard Spitzer
Hearing Site: Tampa, FL
| | $17,312 |
| 22-02830 | 03/24/2023 | Claimant(s): James Holman
Claimant Lawyers(s): James P. Holman
Respondent(s): Fidelity Brokerage Services LLC, Ryan Furuta
Respondent Lawyers(s): Shawn J. Gebhardt
Arbitrator(s): M. Melvin Shralow
Hearing Site: Wilmington, DE
| | $300 |
| 22-01186 | 03/23/2023 | Claimant(s): Anthony Karazeris
Claimant Lawyers(s): Anthony Karazeris
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Mark G. Materna
Arbitrator(s): Lawrence R. Mills
Hearing Site: San Francisco, CA
| | $0 |
| 21-02264 | 03/23/2023 | Claimant(s): Estate of Ellard (through PR)
Claimant Lawyers(s): Anthony F. Fata
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Dianne Marie Onichimowski, Mark W Solock, Matthew James Mc Carter
Hearing Site: Chicago, IL
| | $782,273 |
| 21-01817 | 03/23/2023 | Claimant(s): Roger Johnson
Claimant Lawyers(s): David Vermont
Respondent(s): Frank Black, Kostas Tsamos, Southeast Investments, N.C..
Respondent Lawyers(s): Alan M. Wolper, Liam O'Brien
Arbitrator(s): Larry Evert Carlson, Marilee Roberg, Howard T. Goffen
Hearing Site: Chicago, IL
| | $0 |
| 22-02681 | 03/22/2023 | Claimant(s): Adrienne LaViolette
Claimant Lawyers(s): Adrienne LaViolette
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Robert C. Rice
Hearing Site: Houston, TX
| | $0 |
| 21-00944 | 03/22/2023 | Claimant(s): Estate of Dennis Ponnock, Dennis Ponnock Trust
Claimant Lawyers(s): Michael Hill
Respondent(s): Edward Fernberger, Raymond, James & Associates.
Respondent Lawyers(s): Bruce W. Barnes, Laura T. Ruiz Rivera
Arbitrator(s): Monica I. Salis, Steven Gerard Goerke, Laura C Myers
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-02651 | 03/22/2023 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Gregory Novak, Tracy Druce
Respondent Lawyers(s): Gregory Novak, Tracy Druce
Arbitrator(s): Linda Broocks, Daniel J. Pagnano, William G Brown
Hearing Site: Houston, TX
| | $260,436 |
| 22-01983 | 03/21/2023 | Claimant(s): James Passarelli
Claimant Lawyers(s): Andrew Duncan
Respondent(s): Nicholas Adducci
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | $213 |
