23-01298 | 07/11/2024 | Claimant(s): Paul Gerlach Claimant Lawyers(s): Shawn P. George Respondent(s): Charles Knott, Cort Meinelschmidt, Capital Investment Group., Sentinel Capital Solutions Inc Respondent Lawyers(s): Jonathan A. Barnes, Victor E. Cretella III Arbitrator(s): Geoffrey A. Drucker, James Pauli, Allan David Poteshman Hearing Site: Washington, DC
| | $996,072 |
23-03248 | 07/09/2024 | Claimant(s): Charles Gottschalk, IRA Claimant Lawyers(s): Lysa L. Postula-Stein Respondent(s): Sigma Financial Corporation Respondent Lawyers(s): Jonathan M. Sterling Arbitrator(s): Martin Brosnan Hearing Site: Detroit, MI
| | Dismissed by Rule 12206 |
22-01619 | 07/08/2024 | Claimant(s): Dana Cohen, Jerome Cohen, The Estate of Jeffrey Cohen, The Ronni Cohen Trust Claimant Lawyers(s): Coren H. Stern Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Lawton R. Graves Arbitrator(s): Will Murphy, Barry David Thorpe, Noah David Rubin Hearing Site: Boca Raton, FL
| | $643,992 |
23-00894 | 07/05/2024 | Claimant(s): Arnold Galman, Galman Family Trust DTD 02/05/96 Claimant Lawyers(s): Carl F. Schoeppl Respondent(s): Michael Coraggio, Janney Montgomery Scott LLC Respondent Lawyers(s): Theodore R. Snyder Arbitrator(s): Edward R. Niederriter, Gerald H. Grayson, Lisa Jane Austein Hearing Site: Boca Raton, FL
| | $0 |
20-00455 | 07/03/2024 | Claimant(s): Christina Aitchison, Thomas Aitchison, Christina S. Aitchison IRA Account, Thomas M. Aitchison IRA Account, TM & CS Aitchison 1998 Revocable Trust Claimant Lawyers(s): Brandon S. Reif, Jon C. Furgison Respondent(s): Morgan Stanley, Jim Stephenson, Nicholas Rogers Respondent Lawyers(s): William D. Briendel Arbitrator(s): Ralph A. Cotton, Peter H. Daly, Kevin Francis Woodall Hearing Site: San Francisco, CA
| | Expungement |
24-00372 | 07/01/2024 | Claimant(s): Michael Wadsworth Claimant Lawyers(s): Michael J. Wadsworth Respondent(s): Robinhood Securities Respondent Lawyers(s): Simeon M. Schopf Arbitrator(s): Sandra J. Mullings Hearing Site: New York, NY
| | $425 |
23-00307 | 07/01/2024 | Claimant(s): Janet Romanski Claimant Lawyers(s): Matt Lewis Respondent(s): Edward Jones, Lloyd Wright Respondent Lawyers(s): Maria Windham Arbitrator(s): Barry H. Barnett, Michael J Norton, Morgan Hislop Lemaitre Hearing Site: Salt Lake City, UT
| | Expungement |
23-00813 | 07/01/2024 | Claimant(s): Kristine Winger Ottomano, Peter Ottomano Claimant Lawyers(s): William M. Pinzler Respondent(s): John Barrett, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): David J. Libowsky Arbitrator(s): Sandra J. Mullings Hearing Site: New York, NY
| | $0 |
23-03103 | 06/27/2024 | Claimant(s): Jamar Evans Claimant Lawyers(s): Jamar Evans Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): John E. Bersin Arbitrator(s): Gregory G. Gocek Hearing Site: Indianapolis, IN
| | $0 |
24-00033 | 06/27/2024 | Claimant(s): Francisco Torres Claimant Lawyers(s): Francisco Torres Respondent(s): Robinhood Financial Respondent Lawyers(s): Richard J. Davis Arbitrator(s): Jeffrey Alan Helewitz Hearing Site: New York, NY
| | $0 |