| 21-00957 | 02/14/2023 | Claimant(s): David Barnett, Sara Barnett, DSB Financial Investments, David Barnett OBO his IRA, Sara Barnett OBO her IRA
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Martin M. Van Luven, Brian Campbell, Laura Susann Ukoli
Hearing Site: Tampa, FL
|  | Expungement |
| 21-01769 | 02/10/2023 | Claimant(s): Jesse Vos
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Gary M. Saretsky
Arbitrator(s): Barry Goldman, Betty Rankin Widgeon, Mark Gregory Brackon
Hearing Site: Detroit, MI
| | Expungement |
| 21-03046 | 02/10/2023 | Claimant(s): Anne Holland-McCowan
Claimant Lawyers(s): Aaron Lee Arndt
Respondent(s): Andrew Hess, Sanford C. Bernstein & Co.
Respondent Lawyers(s): Brian T. Burns
Arbitrator(s): Joseph Winter, Kenneth M. Weinman, Adam Michael Porter
Hearing Site: Los Angeles, CA
| | Expungement |
| 22-00590 | 02/09/2023 | Claimant(s): Ricardo Aguirre
Claimant Lawyers(s): Ricardo Aguirre
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Stephanie E. Simmons
Hearing Site: Houston, TX
| | Dismissed by Rules 12212(c), 12511(b) and 12603 |
| 20-03378 | 02/09/2023 | Claimant(s): Gregory Smith, Sarah Smith
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Oppenheimer & Co.., Thomas Kruse
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Robert J. Scafuri, Mark Gregory Brackon, Kader M Alcodray
Hearing Site: Detroit, MI
| | $70,000 |
| 21-01720 | 02/09/2023 | Claimant(s): C. Woodcock
Claimant Lawyers(s): David F. Olsky
Respondent(s): George McCaffrey, NTB Financial Corporation
Respondent Lawyers(s): Frank W. Visciano, George McCaffrey
Arbitrator(s): Mari C. Bush, Deanna M. Tuley
Hearing Site: Denver, CO
| | $300,000 |
| 19-00953 | 02/08/2023 | Claimant(s): Ann Goldberg, Marc Goldberg
Claimant Lawyers(s): Gary Menzer
Respondent(s): Corey Engelhard, Wells Fargo Advisors
Respondent Lawyers(s): Christopher M. Sacco, Paul Yarns
Arbitrator(s): Monroe Mitchel
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-02427 | 02/08/2023 | Claimant(s): Catalina Hernandez-Sanchez, Luis Juarez-Hernandez
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Jeff Kilgore, Brian James Tagtmeier, Mina Banerjee
Hearing Site: Houston, TX
| | Expungement |
| 20-02864 | 02/07/2023 | Claimant(s): Dominic Ismert, Ismert, OBO his DSGND Benefit Plan/TOD
Claimant Lawyers(s): Jason Haselkorn
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Henry R Cox, Lawrence R. Maxwell, Nancy S. Brown
Hearing Site: Kansas City, MO
| | $144,425 |
| 21-02261 | 02/06/2023 | Claimant(s): Rahim Jiwa
Claimant Lawyers(s): Ryan Cook
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Jacqueline R. Fox, Denise Ereka Peterson, Vincent Vereen
Hearing Site: Houston, TX
| | Expungement |
