| 20-01072 | 01/19/2023 | Claimant(s): David Smith, The Estate of Clara M. Bell
Claimant Lawyers(s): Scott A. Lane
Respondent(s): Donald Smith, Provident Private Capital Partners.
Respondent Lawyers(s): G. Clinton Kelley
Arbitrator(s): Jeffrey M. Bain, Gary Lee Ainley, Karl Strohbehn
Hearing Site: Cleveland, OH
|  | $93,666 |
| 21-02374 | 01/17/2023 | Claimant(s): Allen Wagner
Claimant Lawyers(s): Allen B. Wagner
Respondent(s): Kelly Behunin, Fidelity Brokerage Services LLC, Peter Lee, Puja Aggarwal, Robert Burge, FMR, Fidelity Personal & Workplace Advisors, Strategic Advisers LLC
Respondent Lawyers(s): Casey W. Jones, Noah D. Sorkin
Arbitrator(s): Mary Margaret Bush, Philip Aaron Tymon, Diane Duvall
Hearing Site: San Francisco, CA
| | Expungement |
| 21-00721 | 01/17/2023 | Claimant(s): Donald Winter
Claimant Lawyers(s): David Vermont
Respondent(s): Brent Porges, Craig Taddonio, Peter Faggioni
Respondent Lawyers(s): Brent Morgan Porges, Craig Scott Taddonio, Peter Anthony Faggioni
Arbitrator(s): Thomas A. Martin
Hearing Site: Oklahoma City, OK
| | $0 |
| 22-00372 | 01/13/2023 | Claimant(s): Allan Norris, Carol Norris, The Carol D. Norris Estate Planning
Claimant Lawyers(s): Meghan L. McElligott
Respondent(s): Kovack Securities Inc
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Richard W. Dissen
Hearing Site: Columbus, OH
| | Expungement |
| 20-01716 | 01/12/2023 | Claimant(s): Gary Sparago
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Patrick Christensen
Arbitrator(s): Richard E. Castiglioni
Hearing Site: New York, NY
| | $0 |
| 22-00523 | 01/06/2023 | Claimant(s): Robert Reed
Claimant Lawyers(s): Brian J. Davis
Respondent(s): Christopher Fusco, Lon Faccini, Arive Capital Markets
Respondent Lawyers(s): Anthony Varbero, Christopher Thomas Fusco
Arbitrator(s): Julius Z. Frager, Lynn Hirschfeld Brahin, Jane Cohen
Hearing Site: St. Louis, MO
| | Dismissed |
| 22-01856 | 01/05/2023 | Claimant(s): Justin Young
Claimant Lawyers(s): Justin N Young
Respondent(s): Webull Financial Llc
Respondent Lawyers(s): Benjamin D. Cooper
Arbitrator(s): Michael Jeffrey Norton
Hearing Site: Denver, CO
| | $0 |
| 22-02013 | 01/05/2023 | Claimant(s): Thomas Bakker
Claimant Lawyers(s): Thomas Bakker
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Ronald Chun
Hearing Site: San Francisco, CA
| | $0 |
| 22-00044 | 01/03/2023 | Claimant(s): Kathleen Mucciolo, Mario Mucciolo, Estate of Katherine Mucciolo
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Hornor, Townsend & Kent.
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Alfreida B. Kenny, Mitchell Regenbogen, Charlane Brown
Hearing Site: New York, NY
| | Expungement |
| 22-00606 | 12/30/2022 | Claimant(s): Michael Bledsoe
Claimant Lawyers(s): Michael Bledsoe
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Leon Fox, Scott Stauffer, Shimon Benyamin Kahan
Hearing Site: Chicago, IL
| | $0 |
