| 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 |
| 20-02030 | 06/30/2022 | Claimant(s): Irwin Schaeffer, Schaeffer Family Trust
Claimant Lawyers(s): Kyle M. Kulzer
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Joseph Winter, David Harvey Failer, Hiro N Aragaki
Hearing Site: Los Angeles, CA
| | $0 |
| 20-02843 | 06/30/2022 | Claimant(s): Johnny Walker
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Alan M. Holzberg, Shannon Lyn Mays, Denise Ereka Peterson
Hearing Site: Houston, TX
| | $1,232,770 |
| 21-00889 | 06/28/2022 | Claimant(s): Daniel Prielipp
Claimant Lawyers(s): David B. Vermont
Respondent(s): Cassandra Woodward, Liberty Partners Financial Services
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Kenneth J. Safran, O'Neal Oliver Wright, Crescenzo Christopher Scotto DiVetta
Hearing Site: Detroit, MI
| | Dismissed by Rule 12206 |
| 20-03978 | 06/28/2022 | Claimant(s): Jeff and Karen Misner Revocable Trust
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca K. Lindahl
Arbitrator(s): J.G. Long, Thomas James Hirsch, Jeffrey Alperin
Hearing Site: Atlanta, GA
| | $1,342,120 |
| 21-01701 | 06/27/2022 | Claimant(s): Chiaki Kumazawa
Claimant Lawyers(s): Samuel Edwards
Respondent(s): Bancwest Investment Services.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Robert M Stein, Daniel M. Yamshon, Paul E. Dahlman
Hearing Site: Anchorage, AK
| | Dismissed by Rule 12206 |
| 22-00018 | 06/24/2022 | Claimant(s): Candaice Haywood
Claimant Lawyers(s): Candaice Haywood
Respondent(s): Aspiration Financial LLC
Respondent Lawyers(s): Michael Joseph Shuckerow
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 20-03286 | 06/24/2022 | Claimant(s): Mario Posillico
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Thomas M. McHugh
Arbitrator(s): Will Murphy, Judith Jackson Chorlog, Isabelle Sherman
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-01577 | 06/23/2022 | Claimant(s): Marko Gnann
Claimant Lawyers(s): Robert Volynsky
Respondent(s): Donovan Mannato, Morgan Stanley, Wells Fargo Clearing Services
Respondent Lawyers(s): Abigail Elrod, Andrew W. Sidman, Kevin D. Galbraith
Arbitrator(s): Sandra J. Mullings, Marion F. Posner, Vaughn Norman Browne
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 22-00304 | 06/23/2022 | Claimant(s): Gregory Kruse
Claimant Lawyers(s): Gregory Kruse
Respondent(s): Paul Price
Respondent Lawyers(s): Bruce W. Barnes
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
