| 19-01179 | 05/26/2022 | Claimant(s): Marlyn Schipper
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Prudential Investment Mgmt Services LLC, Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge, Marilyn B. Rosen
Arbitrator(s): Michael Nathanson, Jacqueline Stanley Lustig, Thomas P. Valenti
Hearing Site: Chicago, IL
|  | $0 |
| 21-01501 | 02/23/2022 | Claimant(s): Mark Gelbman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): M W Gear
Hearing Site: Des Moines, IA
| | |
| 21-01305 | 10/15/2021 | Claimant(s): Joseph Reynolds
Claimant Lawyers(s): Joseph Reynolds
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
| | $300 |
| 20-02317 | 09/24/2021 | Claimant(s): Marina Delacruz
Claimant Lawyers(s): Marina Delacruz
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Timothy P. Bogan, Philip Aaron Tymon, Jon H. Sylvester
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12212 |
| 20-03135 | 08/06/2021 | Claimant(s): Wesley Sorensen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
| | |
| 19-01892 | 07/13/2021 | Claimant(s): Susan Gordon Neal
Claimant Lawyers(s): Adam J. Stewart
Respondent(s): David Reynolds, Steven Wright, Principal Securities.
Respondent Lawyers(s): David Lee Reynolds, Kathryn Roe Eldridge
Arbitrator(s): Ralph A. Cotton, Juleanne (Julie) A. Thiebaut, Stanley Data
Hearing Site: San Francisco, CA
| | Expungement |
| 20-02862 | 05/28/2021 | Claimant(s): Brian Peardon
Claimant Lawyers(s): Harris Freedman
Respondent(s): ProEquities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
| | |
| 20-00639 | 09/21/2020 | Claimant(s): Robert Brewer
Claimant Lawyers(s): Kathryn Roe Eldridge
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Bill Swinford
Hearing Site: Louisville, KY
| | |
| 20-00121 | 08/26/2020 | Claimant(s): Casey Sletten
Claimant Lawyers(s): Frances Menzer
Respondent(s): Principal Funds Distributor.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 11-01226 | 07/30/2013 | Claimant(s): Estate of Thelma A. Mendel, Thelma A. Mendel Lifetime Trust
Claimant Lawyers(s): J. Curt Tanner, Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): John F. Allgood, Philip Michael Moran, Brock Bingham Gordon
Hearing Site: Birmingham, AL
| | $279,500 |
