| 21-02661 | 10/04/2022 | Claimant(s): Ricardo De Los Santos, Sandra De Los Santos
Claimant Lawyers(s): Ricardo De Los Santos
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Frances Johnson Wright, David A. Schuler, Valarie Wright
Hearing Site: Dallas, TX
|  | $96,193 |
| 20-03765 | 10/03/2022 | Claimant(s): OKC Group
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): First Republic Investment Management, First Republic Securities Company
Respondent Lawyers(s): Neal Robb
Arbitrator(s): Steven Ira Weinberger, Jonathan Chane, Gustavo Gutierrez
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-02905 | 10/03/2022 | Claimant(s): Subhash Mannava
Claimant Lawyers(s): Oran D. Cart
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 20-03985 | 09/30/2022 | Claimant(s): Elizabeth Catana, Robert Catana
Claimant Lawyers(s): Matt Wolper
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Paul J. Burkhart, John B. Sochacki, Anthony Terence Flynn
Hearing Site: Boca Raton, FL
| | $850,000 |
| 21-02035 | 09/29/2022 | Claimant(s): MaryAnn Vellone
Claimant Lawyers(s): August M. Iorio
Respondent(s): Nicholas Palumbo
Respondent Lawyers(s): Kevin Galbraith
Arbitrator(s): Fred S. Pieroni, Alice E. Winkler, Robert E. Riccobono
Hearing Site: New York, NY
| | Expungement |
| 22-00517 | 09/29/2022 | Claimant(s): James Bernell Nelson IRA
Claimant Lawyers(s): James Bernell Nelson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): J.G. Long
Hearing Site: Atlanta, GA
| | $163 |
| 22-00453 | 09/29/2022 | Claimant(s): Chrysta Dwyer-Hammon
Claimant Lawyers(s): August M. Iorio
Respondent(s): McDonald Partners LLC
Respondent Lawyers(s): Michael Gross
Arbitrator(s): Sidney Seligman
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-00836 | 09/28/2022 | Claimant(s): Aspiration Financial LLC
Claimant Lawyers(s): Andrew J. Melnick
Respondent(s): Jaylen Eugene
Respondent Lawyers(s): Jaylen Eugene
Arbitrator(s): Robert H. Putnam
Hearing Site: New Orleans, LA
| | $0 |
| 21-01193 | 09/28/2022 | Claimant(s): Justin Fraser
Claimant Lawyers(s): David Harrison
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Lawrence R. Maxwell, Jeffrey Ackermann, Deborah Johns Tatum
Hearing Site: New Orleans, LA
| | $452,817 |
| 21-01230 | 09/23/2022 | Claimant(s): Kathy Starks, Maxie Starks
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Mary Elizabeth Skelnik
Hearing Site: Little Rock, AR
| | Expungement |
