| 19-02345 | 06/01/2020 | Claimant(s): Jay Thorp
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Phyllis Karasov, Grant D. Sanders, Buffie Ann Blesi
Hearing Site: Minneapolis, MN
| | |
| 19-02193 | 05/07/2020 | Claimant(s): William Bernard
Claimant Lawyers(s): William N. Bernard
Respondent(s): Stephen Zipkin, Steven Dash, Hallmark Investments.
Respondent Lawyers(s): Stephen Phillip Zipkin, Steven Gary Dash, Steven Dash
Arbitrator(s): Grant D. Sanders
Hearing Site: Minneapolis, MN
|  | $0 |
| 19-02291 | 03/23/2020 | Claimant(s): Tiow Chan
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Securities America.
Respondent Lawyers(s): Tyler Schubauer
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
| | |
| 18-03369 | 03/16/2020 | Claimant(s): Thomas Mayberry
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): John B. Orenstein, Steven M. Bialick, Lindsay Keller
Hearing Site: Minneapolis, MN
| | $0 |
| 19-02837 | 02/24/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Renan Sugarman
Respondent(s): Jeffrey Hill
Respondent Lawyers(s): Jeffrey Alan Hill
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Minneapolis, MN
| | |
| 19-01741 | 01/15/2020 | Claimant(s): Natalie Brinkman
Claimant Lawyers(s): Elizabeth P. Ridley
Respondent(s): Edward Jones
Respondent Lawyers(s): Annie Zaffuto
Arbitrator(s): Susan L. Walker
Hearing Site: Minneapolis, MN
| | |
| 19-02840 | 12/30/2019 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay E. Wuller
Respondent(s): John Church
Respondent Lawyers(s): John Dewey Church
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | |
| 19-01881 | 12/27/2019 | Claimant(s): Michael Rowan IRA
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Adam Morsi, Michael Guilfoyle, Legend Securities.
Respondent Lawyers(s): Hisham Hamed, Michael Nicholas Guilfoyle, Salvatore Caruso
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | $36,000 |
| 19-01621 | 12/13/2019 | Claimant(s): Nathan Bergeland
Claimant Lawyers(s): Nathan Daniel Bergeland
Respondent(s): Gary Orcutt
Respondent Lawyers(s): Gary Warren Orcutt
Arbitrator(s): Grant D. Sanders
Hearing Site: Minneapolis, MN
| | |
| 17-02617 | 11/20/2019 | Claimant(s): Kevin Rouse
Claimant Lawyers(s): Kevin Rouse
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Alain Frecon, Mary Louise Hilfiker, Robert Meredith Altman-Segal
Hearing Site: Minneapolis, MN
| | Rule 12504(b) |
