| 19-01455 | 04/06/2022 | Claimant(s): James Novak
Claimant Lawyers(s): Terry J. Kirwan
Respondent(s): Charles Schwab & Co.., Herbert Reilly, HFR Investment Advisory Services
Respondent Lawyers(s): David G. Burch, Kevin H. Lewis
Arbitrator(s): Patrick M. Markey, Denise L. Presley, Kenneth Dymond
Hearing Site: Syracuse, NY
|  | $0 |
| 21-02117 | 04/05/2022 | Claimant(s): Phillip Rademacher
Claimant Lawyers(s): Linda Broocks
Respondent(s): Charles Kuszmaul, Diane Bythell
Respondent Lawyers(s): John R. Phillips
Arbitrator(s): Lawrence R. Maxwell, Brandon Gordon Kinney, Veronica Sellers
Hearing Site: Kansas City, MO
| | Expungement |
| 20-03808 | 04/05/2022 | Claimant(s): Gabrielle Sigel, Jacqueline Rosen, Lawrence Osman, Rochelle Seeman, Osman Family Trust
Claimant Lawyers(s): Katherine A. Petti
Respondent(s): J.P. Morgan Securities, Sherod Hanson
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Benjamin F. Breslauer, Virginia Alice Suveiu, Barry D. Kaye
Hearing Site: Los Angeles, CA
| | $0 |
| 21-01160 | 04/04/2022 | Claimant(s): Neil Berns
Claimant Lawyers(s): Dietrich Epperson
Respondent(s): Portfolio Resources Group.
Respondent Lawyers(s): Eric R. Feld
Arbitrator(s): Edmund Timothy Donovan
Hearing Site: New York, NY
| | Expungement |
| 19-00624 | 04/04/2022 | Claimant(s): Laurita P. Chmielewski Revocable Trust
Claimant Lawyers(s): Daniel J. Broxup
Respondent(s): James Flynn, Voya Financial Advisors.
Respondent Lawyers(s): James Travis Flynn, Steven Mellen
Arbitrator(s): Carl Henry Perdue, Peter Shapiro, Joanne Colbert Stanley
Hearing Site: Boca Raton, FL
| | $323,365 |
| 20-00954 | 03/31/2022 | Claimant(s): Janet M. Wittmer, Ronald E. Wittmer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Bruce Guarino, Daniel Murray, Douglas Guarino, Jeff Snyder, Rockwell Global Capital LLC
Respondent Lawyers(s): Daniel Robert Murray, Douglas Joseph Guarino, Jeff David Snyder, Robert M. Bursky
Arbitrator(s): Steven H. Vogel, Jacqueline Stanley Lustig, Stuart W. Smith
Hearing Site: Chicago, IL
| | $0 |
| 19-03788 | 03/31/2022 | Claimant(s): De Mille RT DTD 1/26/93, De Mille TTEE
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Guy Harrigan, James Teegarden, Lion Street Financial, Triad Advisors LLC
Respondent Lawyers(s): James A. McGovern, Kathy M. Klock
Arbitrator(s): Nicole T. LeBoeuf, Phyllis Sandra Hill, Don G Miller
Hearing Site: Dallas, TX
| | Expungement |
| 21-02656 | 03/30/2022 | Claimant(s): Michael Braun IRA
Claimant Lawyers(s): Michael Braun
Respondent(s): Rydex Distributors.
Respondent Lawyers(s): Christopher Antonow
Arbitrator(s): Sharon R. Merriman, Barry Goldman, Michael Charles Peek
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12504 |
| 20-04210 | 03/30/2022 | Claimant(s): Nathan Edwards
Claimant Lawyers(s): Nathan Edwards
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Mitchel Weiss, Brian Michael Kane, Mary Ann Etzler
Hearing Site: Jacksonville, FL
| | $0 |
| 21-02755 | 03/30/2022 | Claimant(s): Hope DeBorse
Claimant Lawyers(s): Hope DeBorse
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Shea O. Hicks
Arbitrator(s): Thomas E Shuck
Hearing Site: Los Angeles, CA
| | $0 |
