| 22-00202 | 04/25/2023 | Claimant(s): LaVonne Demuth
Claimant Lawyers(s): Paul D Gamez
Respondent(s): Brent Owens, Brooke Rockey, Dana Vietor, Daniel Hale, Kregg Rooze, Matthew Bahrenburg, Terry May, The Owens Family Trust
Respondent Lawyers(s): Andrew Shedlock, Gary S. Kessler
Arbitrator(s): Robert J. Scafuri, Barry Goldman, Joseph Tim Keeling
Hearing Site: Des Moines, IA
|  | Expungement |
| 20-03378 | 02/09/2023 | Claimant(s): Gregory Smith, Sarah Smith
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Oppenheimer & Co.., Thomas Kruse
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Robert J. Scafuri, Mark Gregory Brackon, Kader M Alcodray
Hearing Site: Detroit, MI
| | $70,000 |
| 22-01654 | 12/15/2022 | Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): Gregory M. Curley
Respondent(s): David Huhtala
Respondent Lawyers(s): David Andrew Huhtala
Arbitrator(s): Robert J. Scafuri
Hearing Site: Syracuse, NY
| | |
| 22-01609 | 12/06/2022 | Claimant(s): The Hermes Family Trust
Claimant Lawyers(s): Courtney Werning
Respondent(s): Gregory Fockler, Royal Alliance Associates.
Respondent Lawyers(s): Gregory Curley
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cleveland, OH
| | $10,600 |
| 17-01238 | 08/15/2022 | Claimant(s): Robert Little
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Andrew Drago, Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Robert J. Scafuri, John James McGovern, Walter Meagher
Hearing Site: Syracuse, NY
| | $0 |
| 20-04171 | 08/08/2022 | Claimant(s): Craig Findley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): James L. Komie
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cleveland, OH
| | |
| 19-03004 | 06/09/2022 | Claimant(s): David Bergal, Milton B. Bergal Estate Trust
Claimant Lawyers(s): Jared A. Levy
Respondent(s): Chase Investment Services Corp., J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Robert J. Scafuri, Barry Goldman, Richard A Young
Hearing Site: Indianapolis, IN
| | |
| 19-02523 | 05/23/2022 | Claimant(s): Harry Alter, Harry S. Alter Revocable Trust
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Jamie Worden, Worden Capital Management LLC
Respondent Lawyers(s): Jamie John Worden
Arbitrator(s): Robert J. Scafuri, Jack D. Elmquist, Frederick B. Anderson
Hearing Site: Des Moines, IA
| | $60,000 |
| 21-01685 | 01/28/2022 | Claimant(s): Paul Barr
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Robert J. Scafuri
Hearing Site: Des Moines, IA
| | |
| 20-01343 | 01/24/2022 | Claimant(s): Denice Azar Revocable Trust
Claimant Lawyers(s): Scott Lane
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Robert J. Scafuri, Michael D. McDowell, Linda Arlene Michler
Hearing Site: Pittsburgh, PA
| | Expungement |
