| 23-01609 | 03/22/2024 | Claimant(s): Dawne Ferland
Claimant Lawyers(s): Louis H. Miron
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Barry Goldman, Kyle E Higgason, John G Banner
Hearing Site: Cincinnati, OH
| | |
| 23-02221 | 01/26/2024 | Claimant(s): Gary Ecenbarger Roth IRA, Kathy Ecenbarger Roth IRA, Gary G. Ecenbarger Revocable Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Farid Farhoumand
Respondent Lawyers(s): Lydia R. Zaidman
Arbitrator(s): Sharon R. Merriman, Barry Goldman, Crystal Lynne Johnson
Hearing Site: Indianapolis, IN
|  | Dismissed by Rule 12504 |
| 22-02263 | 10/25/2023 | Claimant(s): Loretta Bynum
Claimant Lawyers(s): Courtney Werning
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Robert J. Scafuri, Barry Goldman, Mark Gregory Brackon
Hearing Site: Detroit, MI
| | $125,000 |
| 20-04055 | 07/07/2023 | Claimant(s): Grant Montgomery
Claimant Lawyers(s): John Phillips
Respondent(s): Carter, Terry & Company.
Respondent Lawyers(s): Scott Holcomb Esq.
Arbitrator(s): Barry Goldman, Lynn Hirschfeld Brahin, Brenda Adams
Hearing Site: St. Louis, MO
| | $100,000 |
| 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 |
| 21-00487 | 03/31/2023 | Claimant(s): Christopher Watkins, Douglas Obradovich
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Barry Goldman, Jeffrey M. Bain, Joseph Patrick Cottingham
Hearing Site: Louisville, KY
| | |
| 22-02724 | 03/31/2023 | Claimant(s): Nicholas Kosley
Claimant Lawyers(s): Nicholas A Kosley
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Barry Goldman
Hearing Site: Cleveland, OH
| | $0 |
| 21-01769 | 02/10/2023 | Claimant(s): Jesse Vos
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Gary M. Saretsky
Arbitrator(s): Barry Goldman, Betty Rankin Widgeon, Mark Gregory Brackon
Hearing Site: Detroit, MI
| | Expungement |
| 22-00804 | 02/10/2023 | Claimant(s): Scott Reed
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Sanctuary Securities.
Respondent Lawyers(s): Kathleen A. DeLaney
Arbitrator(s): Barry Goldman, Robert L. Smith, David E. Bailey
Hearing Site: Indianapolis, IN
| | |
| 17-00299 | 01/30/2023 | Claimant(s): Wells Fargo Advisors, Wells Fargo Clearing Services, Kyle Herrman, Renee Crittenden
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Commerce Brokerage Services.
Respondent Lawyers(s): Corey Franklin
Arbitrator(s): Leah Murray Albert, Barry Goldman, Jane Cohen
Hearing Site: St. Louis, MO
| | |
