| 21-03090 | 05/18/2022 | Claimant(s): Ira W. Cotton Individual Retirement
Claimant Lawyers(s): Ira W. Cotton
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
|  | $14,519 |
| 21-00545 | 05/16/2022 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Kevin J. Demet
Hearing Site: Milwaukee, WI
| | $0 |
| 21-02040 | 05/13/2022 | Claimant(s): Diana McDaniel, Marc McDaniel
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Robert Stewart Barney, MaryJane Rabier, Gerald Michael Richardson
Hearing Site: St. Louis, MO
| | Expungement |
| 20-01548 | 05/13/2022 | Claimant(s): The JZ Family Trust U/A DTD 01/30/2013
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ronak V. Patel
Arbitrator(s): Lawrence R. Maxwell, Robert L Williamson, Ross B. Russell
Hearing Site: Dallas, TX
| | Expungement |
| 21-00877 | 05/12/2022 | Claimant(s): Emily Thompson
Claimant Lawyers(s): Daniel P. Thompson.
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | Expungement |
| 19-03167 | 05/12/2022 | Claimant(s): Estate Judith Pauley/Karen Drozdowski PR
Claimant Lawyers(s): Edward Nahhat
Respondent(s): Edward Jones, John Downey, Roger Loridon
Respondent Lawyers(s): Roger Loridon, Todd A. Holleman
Arbitrator(s): Mauricio Kohn, Gerald W. Hepp, Sandra Franklin
Hearing Site: Detroit, MI
| | Expungement |
| 19-02240 | 05/12/2022 | Claimant(s): Marlin Miller
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Brent Porges, Craig Taddonio, Peter Faggioni, Craig Scott Capital
Respondent Lawyers(s): Brent Morgan Porges, Brent Porges, Craig Scott Taddonio, Peter Faggioni
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Chicago, IL
| | $0 |
| 21-01346 | 05/12/2022 | Claimant(s): Richard Benge
Claimant Lawyers(s): Richard D Benge
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): William Walsh
Arbitrator(s): James E. Bartels
Hearing Site: Seattle, WA
| | $0 |
| 21-00028 | 05/11/2022 | Claimant(s): Ian Delahunty
Claimant Lawyers(s): Michael S. Hill
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Karen Roberts Washington, Will Pryor, Subvet West
Hearing Site: Dallas, TX
| | $365,425 |
| 19-02809 | 05/10/2022 | Claimant(s): William Metheny
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Craig A. Riha
Arbitrator(s): Michael J. Meeusen, Joshua Eric Lubatkin, Christopher Allen
Hearing Site: St. Louis, MO
| | Expungement |
