| 20-01504 | 10/18/2022 | Claimant(s): Stephen Zaminski
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): Karen J. Orlin, Albert Rizzo, Qiana Martin
Hearing Site: New York, NY
|  | $0 |
| 19-01839 | 10/18/2022 | Claimant(s): Linda O'Donnell
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): TD Ameritrade., Peter Keating, United Planners' Financial Services
Respondent Lawyers(s): Erinn M. Maguire, Gerry Kowalski
Arbitrator(s): Jay B. Bachar, Catherine Esther Bocskor, Robert J. Kirkner
Hearing Site: Baltimore, MD
| | $244,344 |
| 22-00081 | 10/17/2022 | Claimant(s): Karen Binder
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Jim Geiger, Michael J. Henke, Donita M. King
Hearing Site: Richmond, VA
| | Expungement |
| 21-02462 | 10/17/2022 | Claimant(s): John Griffin
Claimant Lawyers(s): John C. Griffin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Brian Michael Kane
Hearing Site: Jacksonville, FL
| | $0 |
| 22-00504 | 10/17/2022 | Claimant(s): Chris Miller
Claimant Lawyers(s): Chris Miller
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Daniel A. Spector
Arbitrator(s): Kenneth Dymond
Hearing Site: Syracuse, NY
| | $0 |
| 22-01130 | 10/17/2022 | Claimant(s): Steven Lee
Claimant Lawyers(s): Steven J Lee
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Norman Michael Garland
Hearing Site: Los Angeles, CA
| | $0 |
| 21-02076 | 10/14/2022 | Claimant(s): Patti Plunkett, individually, The Estate of John E. Plunkett, IRA Account of John E. Plunkett, John E. Plunkett & Maureen Y. Plunkett
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Onnig Hatchig Dombalagian, Ralph Hamilton Schofield, Valerie Wilkins Blunt
Hearing Site: New Orleans, LA
| | Expungement |
| 21-02933 | 10/14/2022 | Claimant(s): Li Lin Rood, Richard Rood
Claimant Lawyers(s): Li Lin Rood
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Elwood C. Avery
Hearing Site: Seattle, WA
| | $0 |
| 22-01044 | 10/13/2022 | Claimant(s): Maxine Kovalkoski, Paul Kovalkoski
Claimant Lawyers(s): Alex E. Rogers
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
| | Expungement |
| 21-01427 | 10/13/2022 | Claimant(s): Nancy Flaherty
Claimant Lawyers(s): Ryan Gustafson
Respondent(s): LPL Financial LLC, Shawn Hochuli
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Victoria E Johnson, Constance Ellen Boukidis, Barry D. Kaye
Hearing Site: Los Angeles, CA
| | $0 |
