18-03488 | 07/15/2022 | Claimant(s): James DeChene, James Dechene IRA Claimant Lawyers(s): D. Daxton White Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Lindsay Wuller Aggarwal Arbitrator(s): Michael S. Jordan, John M. James, Stephen J Beseres Hearing Site: Minneapolis, MN
| | Expungement |
19-01006 | 07/15/2022 | Claimant(s): Frank K. Lee, IRA Claimant Lawyers(s): Richard B. Fosher Respondent(s): First Kentucky Securities Corporation Respondent Lawyers(s): Richard S. Frankowski Arbitrator(s): Stuart D. Summers, Steven Michael McCauley, Kim L. Kirn Hearing Site: Louisville, KY
| | $609,050 |
20-03694 | 07/14/2022 | Claimant(s): Juan Rodriguez, Myriam Gonzalez Claimant Lawyers(s): Jeffrey D. Anderson Respondent(s): Antonio ReynaL Financial LLC, Edward Miller, Financial Resources Group Investment Srv Respondent Lawyers(s): Jack D. Ballard Arbitrator(s): G. Maynard Green, Danielle L. Hargrove, Elena Dilorio Hearing Site: Houston, TX
| | $2,573,340 |
21-01827 | 07/13/2022 | Claimant(s): Daniel Schoonover Claimant Lawyers(s): Daniel L. Schoonover Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Garrett R. Wynne Arbitrator(s): Robert Elliot Harrison Hearing Site: New York, NY
| | $0 |
21-02307 | 07/12/2022 | Claimant(s): Bardavon Health Innovations L.L.C. Claimant Lawyers(s): Robert A. Henderson Respondent(s): Spurrier Capital Partners LLC Respondent Lawyers(s): Joseph P. Rockers Arbitrator(s): James C. Morrow, David W White, Amy L Coopman Hearing Site: Kansas City, MO
| | $0 |
22-00302 | 07/12/2022 | Claimant(s): Rita Greenstein Claimant Lawyers(s): Steven A. Gelfand Respondent(s): David Lerner Associates., Daniel Lerner Respondent Lawyers(s): Eugene L. Small Arbitrator(s): Albert Rizzo Hearing Site: New York, NY
| | $23,480 |
21-00547 | 07/11/2022 | Claimant(s): Gary Miller, Martha Miller Claimant Lawyers(s): William B. Young Respondent(s): NewBridge Securities Corp. Respondent Lawyers(s): Gregg J. Breitbart Arbitrator(s): Stuart K. Furman, Mauricio Arcadier, John Briggs Hearing Site: Orlando, FL
| | Expungement |
21-00650 | 07/11/2022 | Claimant(s): M. Barnett Claimant Lawyers(s): Adam J. Weinstein Respondent(s): Arkadios Capital Respondent Lawyers(s): Peter B. King Arbitrator(s): James C. Hoover, Michael Ryan Peacock, Lakeya Brantley Hearing Site: Atlanta, GA
| | Expungement |
21-00584 | 07/08/2022 | Claimant(s): Joann Rosellini, Estate of Alexander V. Rosellini Claimant Lawyers(s): Thomas Costello Respondent(s): National Securities Corporation, John Moy Respondent Lawyers(s): Fred N. Knopf, Jennifer R. Willey Arbitrator(s): Lawrence E. Dube, Josephia Rouse, Elizabeth Varner Hearing Site: Baltimore, MD
| | Expungement |
19-00199 | 07/07/2022 | Claimant(s): Pearl Michaels Claimant Lawyers(s): Kevin P. Conway Respondent(s): Henley & Company LLC, Henley & Company Wealth Management LLC Respondent Lawyers(s): Thomas M. Campbell Arbitrator(s): Vincent C. Pangia, Edward F. Zagajeski, Gary Stuart Alpert Hearing Site: New York, NY
| | $0 |