| 21-01533 | 08/12/2022 | Claimant(s): Brandi Hannon, Gary Hannon, Brandi Hannon OBO of her IRA, Gary Hannon OBO of his IRA
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Andrea U. Calve
Hearing Site: Oklahoma City, OK
|  | Expungement |
| 20-02838 | 08/12/2022 | Claimant(s): Peter Thum, Peter Thum ROTH IRA, Peter Thum Traditional IRA, The Peter Thum Rollover IRA
Claimant Lawyers(s): Peter Thum
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Lucienne Carasso Bulow, Elizabeth Gilbert, Sandra Holtzman
Hearing Site: New York, NY
| | Expungement |
| 20-04109 | 08/12/2022 | Claimant(s): Hilary Diaz
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Cheryl H. Agris
Hearing Site: New York, NY
| | Expungement |
| 21-01650 | 08/11/2022 | Claimant(s): Tom Snow
Claimant Lawyers(s): Sean J. McCaffity
Respondent(s): Gregory Pharris, Edward Jones
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Douglas Wade Carvell
Hearing Site: Dallas, TX
| | Expungement |
| 20-03966 | 08/11/2022 | Claimant(s): Carol Howard
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Titan Securities
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Robert M Stein, Elwood C. Avery, Stephany Adriene Watson
Hearing Site: Seattle, WA
| | Expungement |
| 19-01276 | 08/11/2022 | Claimant(s): David Budzianowski, D Budzianowski H Daftarian JTWROS
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Michael N. Ungar
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Cincinnati, OH
| | $22,500 |
| 21-02022 | 08/10/2022 | Claimant(s): Aurora Hospitality Group LLC
Claimant Lawyers(s): Peter Markos
Respondent(s): Kenneth Moore, Robert Crotty, Boenning & Scattergood.
Respondent Lawyers(s): Matthew D. Turner, Peter Markos
Arbitrator(s): Theodore W. Wrobleski, Jeffrey W. Finke, Kathy A. Tatone
Hearing Site: Chicago, IL
| | Expungement |
| 20-03553 | 08/10/2022 | Claimant(s): Chukwuemeka Okafor
Claimant Lawyers(s): Samuel Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): Joyce L. Hurley, Joseph C. Watson, Aaron Nathan Shechet
Hearing Site: Los Angeles, CA
| | $0 |
| 22-00729 | 08/10/2022 | Claimant(s): Fangfang Pei
Claimant Lawyers(s): Fangfang Pei
Respondent(s): Peter Po, Ni Advisors
Respondent Lawyers(s): Peter T. Po, Suihock Goy
Arbitrator(s): Jonathan Polland
Hearing Site: San Francisco, CA
| | $0 |
| 22-00540 | 08/09/2022 | Claimant(s): Cerise Chisholm
Claimant Lawyers(s): Cerise Chisholm
Respondent(s): Robinhood Securities
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | $600 |
