| 21-00482 | 11/23/2022 | Claimant(s): Armand Ortega
Claimant Lawyers(s): Alan Baskin
Respondent(s): J.P. Morgan Securities, Ryan Schlappi, JP Morgan Chase Bank, N.A.
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Thomas A. Peterson, Jay H. Feldstein, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
|  | Expungement |
| 22-01068 | 11/23/2022 | Claimant(s): Cam Grace Porter, David Latimer Porter
Claimant Lawyers(s): Howard Rosenfield
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Jill Pilgrim
Hearing Site: Hartford, CT
| | $0 |
| 20-00383 | 11/22/2022 | Claimant(s): Carol Sorensen, Richard Paine, Stephen Sorensen
Claimant Lawyers(s): Philip L. Vujanov
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Jonathan B. Gilbert, Andrew Barton, Brian Luther
Hearing Site: Denver, CO
| | Expungement |
| 21-02646 | 11/22/2022 | Claimant(s): Carol Monte
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Jonathan H. Krotinger, Paul E. Dahlman, Jon Richard Catten
Hearing Site: Boise, ID
| | Expungement |
| 21-02710 | 11/22/2022 | Claimant(s): Glenda Carter
Claimant Lawyers(s): Governor E. Jackson
Respondent(s): Tiaa-Cref Individual & Institutional Ser
Respondent Lawyers(s): Frank Morreale
Arbitrator(s): Thomas Joseph Atkinson, Gayle B. Carlson, Mauricio Arcadier
Hearing Site: Jackson, MS
| | $0 |
| 21-02686 | 11/18/2022 | Claimant(s): Jerome Destigter IRA
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Maxim Beliakov
Respondent Lawyers(s): Maxim Beliakov
Arbitrator(s): Deanna M. Tuley
Hearing Site: Omaha, NE
| | $0 |
| 21-02356 | 11/18/2022 | Claimant(s): David Chaplin, Dustin Mccurdy, Gary Carlisle, Joseph Acquarulo, Mark Siegel, Marvin Rietema, Michael Backus, Richard Curry, Stanley Fleischer, Stuart Vander Laan
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Worden Capital Management LLC, Jamie Worden
Respondent Lawyers(s): Jamie John Worden
Arbitrator(s): Bryan Lane Berson, Charles Platto, Kene Erike
Hearing Site: New York, NY
| | $895,364 |
| 21-02284 | 11/17/2022 | Claimant(s): Jose Camacho
Claimant Lawyers(s): Aaron A. Romney
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Julian F. Santos
Hearing Site: Hartford, CT
| | $0 |
| 22-00240 | 11/16/2022 | Claimant(s): Geoffrey Githaiga
Claimant Lawyers(s): Geoffrey Githaiga
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin Lewis
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
| | $0 |
| 21-02340 | 11/16/2022 | Claimant(s): Lynne Crowe, William Crowe
Claimant Lawyers(s): Aleaha N. Jones
Respondent(s): Thomas Prieur, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Meagan A. Lamberti, Michelle Arbitrio
Arbitrator(s): Laura A. Kaster, Bruce Ernest Hunter, Melanie Barr-Brooks
Hearing Site: Baltimore, MD
| | $100,625 |
