| 21-01682 | 07/06/2022 | Claimant(s): Blair Zimmerman, Blair Zimmerman OBO of his IRA
Claimant Lawyers(s): Blair Zimmerman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
|  | Expungement |
| 22-00127 | 07/06/2022 | Claimant(s): Dilusso Properties Corp.
Claimant Lawyers(s): Eric Quetglas-Jordan
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Maria Elena Martinez
Arbitrator(s): Marie G. Peterson, Carl F. Bowmer, Nancy Wiegers Greenwald
Hearing Site: San Juan, PR
| | Dismissed by Rule 12206 |
| 21-00011 | 07/06/2022 | Claimant(s): Mark Levy
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): NTB Financial Corporation
Respondent Lawyers(s): Frank W. Visciano
Arbitrator(s): Edward W. Morris, Melanie Barr-Brooks, Robert J. Kirkner
Hearing Site: Wilmington, DE
| | $0 |
| 21-02815 | 07/06/2022 | Claimant(s): Monique Sessler
Claimant Lawyers(s): Meghan McElligott
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Richmond, VA
| | Expungement |
| 21-00441 | 07/05/2022 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Issa Dababneh
Respondent Lawyers(s): Issa J. Dababneh
Arbitrator(s): Lisa M. Krimen
Hearing Site: Chicago, IL
| | $0 |
| 21-00762 | 07/05/2022 | Claimant(s): Alfred Nagel, Carol Nagel
Claimant Lawyers(s): Kyle M Kulzer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Mark L. Williams, Brian James Tagtmeier, Russell Caldwell Ducoff
Hearing Site: Houston, TX
| | Expungement |
| 20-02360 | 07/05/2022 | Claimant(s): Alicia Barboza Urdaneta, Andreina Barboza Urdaneta, Neira Urdaneta De Barboza, Roberto Barboza Urdaneta
Claimant Lawyers(s): Andres Gamardo
Respondent(s): Wells Fargo Clearing Services, Jorge De Apodaca
Respondent Lawyers(s): Jeffery D. Rodgers, Michael Arias
Arbitrator(s): Michael Lau, Kevin A. Llinas, Richard S. Herman
Hearing Site: Boca Raton, FL
| | Expungement |
| 18-03808 | 07/05/2022 | Claimant(s): Francis Howard
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Danilo Fuentes, Jason Knapp, Dawson James Securities.
Respondent Lawyers(s): Gregg J. Breitbart, Jason T. Knapp
Arbitrator(s): Mary Jo Marchisello, Richard E. Castiglioni, Christine Meiers Schatz
Hearing Site: New York, NY
| | $99,000 |
| 21-01512 | 07/01/2022 | Claimant(s): Mitchell Dehler, Sadhna Dehler, Mitchell Dehler SEP IRA, Sadhna Dehler Roth IRA
Claimant Lawyers(s): Adam J. Gana
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Susan B. Gans-Smith, Gerald Anthony Pokorski, Aaron Nathan Shechet
Hearing Site: Los Angeles, CA
| | Expungement |
| 20-01604 | 07/01/2022 | Claimant(s): Gerald Fallon
Claimant Lawyers(s): Jeffrey S. Moeller
Respondent(s): Ernest Mishne, Oppenheimer & Co.., Tom Thacker
Respondent Lawyers(s): Donald Corbett
Arbitrator(s): Michael L. Fortney, Dennis S. Medica, CPA, Ronald Edward Alexander
Hearing Site: Cleveland, OH
| | $220,352 |
