| 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 |
| 21-01614 | 08/08/2022 | Claimant(s): Estate of Barbra H. Uterstaedt
Claimant Lawyers(s): Joseph A. Hourihan
Respondent(s): Robin Bogda, Janney Montgomery Scott LLC
Respondent Lawyers(s): Eric M. Sandler, Jeffrey N. Kaplan
Arbitrator(s): Linda J. Baer, Robert M. Singer, Nancy Wiegers Greenwald
Hearing Site: Hartford, CT
| | $0 |
| 20-03869 | 08/08/2022 | Claimant(s): Bonnie K. Johnston, Robert E. Johnston
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Lynn Hirschfeld Brahin, Gregory G. Gocek, Joan M. Esserman
Hearing Site: St. Louis, MO
| | Expungement |
| 17-02578 | 08/08/2022 | Claimant(s): Edward Pesicka, Wendy Pesicka, Edward & Wendy Pesicka
Claimant Lawyers(s): Michael P. Oliverio
Respondent(s): Gregory Pease, Wells Fargo Clearing Services, John Rauch
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): James T. Carney, William L. White, John J. Neely
Hearing Site: Pittsburgh, PA
| | $731,587 |
| 21-00236 | 08/05/2022 | Claimant(s): Detalus Advisors
Claimant Lawyers(s): Donald J. Mehan
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Michael J. Tiffany
Arbitrator(s): Robert J. Gryzmala, MaryJane Rabier
Hearing Site: St. Louis, MO
| | Expungement |
| 21-01157 | 08/05/2022 | Claimant(s): Ronald Brafford
Claimant Lawyers(s): Kevin P. Krupnick
Respondent(s): Carmine Berardi, Rocco Roveccio, Carl Standard & Co. Holdings
Respondent Lawyers(s): Carmine Anthony Berardi, Legal Department, Rocco Roveccio
Arbitrator(s): Maurice M. Feller, Theodore Hornoi-Centerwall, Steven K Yablonski
Hearing Site: Jacksonville, FL
| | Expungement |
| 21-01424 | 08/05/2022 | Claimant(s): Helen Esposito, John Esposito
Claimant Lawyers(s): Paul Radvany
Respondent(s): Zachary Armstrong, Hennion & Walsh.
Respondent Lawyers(s): Jennifer Woods Burke
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | $42,557 |
| 21-01931 | 08/05/2022 | Claimant(s): Grant R. Lambert Lim Access TR DTD 12-27
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Worden Capital Management LLC, Jamie Worden, Michael Valdini
Respondent Lawyers(s): Jamie John Worden, Michael Anthony Valdini
Arbitrator(s): Thomas J. Gmeinder, Frederick Ramos, Jo Anne F. Lewellen
Hearing Site: Minneapolis, MN
| | $305,000 |
| 22-00005 | 08/04/2022 | Claimant(s): EBC Trading
Claimant Lawyers(s): Roberto Dip
Respondent(s): Interactive Brokers
Respondent Lawyers(s): Jovalin Dedaj
Arbitrator(s): Nancy J. Cliff
Hearing Site: Boca Raton, FL
| | $0 |
| 20-04088 | 08/04/2022 | Claimant(s): Jawad Khan, Jawad Khan IRA
Claimant Lawyers(s): Jawad Khan
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Bismarck, ND
| | Expungement |
