| 22-00315 | 09/01/2022 | Claimant(s): Tina Huston
Claimant Lawyers(s): Tina Huston
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Steven Meyrich
Hearing Site: Denver, CO
|  | $0 |
| 20-01201 | 09/01/2022 | Claimant(s): The Barbara M. Estay Trust
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borelli
Arbitrator(s): Roger C. Benson, Alan E. Linden, Lynda Joyce Howell
Hearing Site: Raleigh, NC
| | $468,126 |
| 21-00305 | 08/31/2022 | Claimant(s): Gene Lindenboom, Mary Lindenboom
Claimant Lawyers(s): Lars Soreide
Respondent(s): Justin Dolan, Cetera Advisors LLC
Respondent Lawyers(s): Elaine Rice
Arbitrator(s): Brian Michael Kane, Philip William Vineyard, Donald Gene Tanner
Hearing Site: Jacksonville, FL
| | Expungement |
| 22-00839 | 08/31/2022 | Claimant(s): Stewart Graddick
Claimant Lawyers(s): Stewart T. Graddick
Respondent(s): Prudential Investment Mgmt Services LLC
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Sam Antar
Hearing Site: Jersey City, NJ
| | $0 |
| 20-04110 | 08/31/2022 | Claimant(s): Anne Behm, Joseph Behm, Anne Behm on behalf of her IRA, Anne Behm on behalf of her TOD account, Joseph Behm on behalf of his IRA, Joseph Behm on behalf of his TOD account
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Cambridge Investment Research., Neal Thompson, Harbour Investments.
Respondent Lawyers(s): David A. Genelly, Lindsay Wuller Aggarwal, Mark L. Kowalsky
Arbitrator(s): Milton N. Gross, Ruth M. Moore, John F Mencer
Hearing Site: Denver, CO
| | Expungement |
| 21-01101 | 08/31/2022 | Claimant(s): Harvey Segal
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Worden Capital Management LLC, Gregory Bodkin, Jamie Worden
Respondent Lawyers(s): Charles M. O'Rourke, Jamie Worden
Arbitrator(s): Louis H Miron
Hearing Site: Jersey City, NJ
| | $22,000 |
| 20-00107 | 08/29/2022 | Claimant(s): Christina and Erik Elwell
Claimant Lawyers(s): Joshua Solomon
Respondent(s): Daniel Pimental, Raymond James Financial Services.
Respondent Lawyers(s): George D. Sullivan, Matthew N. Kane
Arbitrator(s): David Sorokoff, Ronald Harris Kisner, Usher Thomasson Winslett
Hearing Site: New York, NY
| | $67,917 |
| 21-00591 | 08/26/2022 | Claimant(s): Robert Paulen IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Nancy J. Cliff
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-00194 | 08/25/2022 | Claimant(s): Brigitte Sodhi, Sukhinder Sodhi
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): Douglas Earl McLaren, Richard H. Porter, Edward Paul Gibson
Hearing Site: Washington, DC
| | Expungement |
| 21-01768 | 08/25/2022 | Claimant(s): Tricia Wilson
Claimant Lawyers(s): Lars Soreide
Respondent(s): Clarissa Beltran, Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): James Wallace Boeckman, G. Dennis Sheehan, James Douglas Gaughan
Hearing Site: Houston, TX
| | Expungement |
