| 20-03737 | 09/15/2022 | Claimant(s): Janet Rempuszewski
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Edmund Timothy Donovan
Hearing Site: New York, NY
|  | Expungement |
| 21-02932 | 09/15/2022 | Claimant(s): Rocky Wuyan, Ting Ma, Rocky Wuyan IRA, Ting Ma IRA, Wuyan Family Irrevocable Trust 11/6/12
Claimant Lawyers(s): Eric S. Pruitt
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Kathy A. Tatone, John William Kenesey, Mark W Solock
Hearing Site: Chicago, IL
| | $186,963 |
| 19-03568 | 09/13/2022 | Claimant(s): Estate of James W. Eggers
Claimant Lawyers(s): J. Mitchell Little
Respondent(s): T. Rowe Price Investment Services.
Respondent Lawyers(s): Daniel J Donovan
Arbitrator(s): Mary Elizabeth Skelnik, Michael Wayne Johnston, Robert Glenn Chadwick
Hearing Site: Dallas, TX
| | $0 |
| 22-00998 | 09/12/2022 | Claimant(s): Barry Layton
Claimant Lawyers(s): Barry A. Layton
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Karen Stymest
Arbitrator(s): Jeffrey M. Allen
Hearing Site: Reno, NV
| | $0 |
| 22-00835 | 09/07/2022 | Claimant(s): Aspiration Financial LLC
Claimant Lawyers(s): Andrew J. Melnick
Respondent(s): Becky Keith
Respondent Lawyers(s): Becky Keith
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
| | $0 |
| 22-00457 | 09/07/2022 | Claimant(s): Alfred Macli
Claimant Lawyers(s): Robert Loventhal
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Fred W. Miller
Hearing Site: Philadelphia, PA
| | $0 |
| 21-02854 | 09/07/2022 | Claimant(s): Arash Ghayoori
Claimant Lawyers(s): Alexander Darr
Respondent(s): Clear Street LLC
Respondent Lawyers(s): Scott Gutmanstein
Arbitrator(s): Bert P. Krages
Hearing Site: Seattle, WA
| | $35 |
| 21-02333 | 09/06/2022 | Claimant(s): Dawn Chappel
Claimant Lawyers(s): Dawn Chappel
Respondent(s): Aspiration Financial LLC
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): John C. Aten
Hearing Site: Cincinnati, OH
| | $0 |
| 21-02234 | 09/06/2022 | Claimant(s): Billy Loveless, Donald Robinson, Douglas Kasemeier, Rhett Rainey, Robert Burgner, Robert Goodman, Sharon Padden, Timothy Padden, Wesley Callaway, Toucan Holdings L.P., Kelley A. Rainey Trust, The Burgner Family Charitable Remainder
Claimant Lawyers(s): Philip L. Vujanov
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): John D. Mattingly, George Pinckney Shingler, Jennifer Chandler Garvin
Hearing Site: Atlanta, GA
| | $36,745,100 |
| 21-00945 | 09/02/2022 | Claimant(s): Cestmir Herstus, Mary McGinley, C Herstus & M C McGuinley 1999 Rev Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Wealthforge Securities
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Minnie Loo, Norman S. Nayfach, Sarah-Jane Allen
Hearing Site: Honolulu, HI
| | $479,699 |
