| 20-02072 | 12/10/2020 | Claimant(s): Michael Koob
Claimant Lawyers(s): Ansis V. Viksnins
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Barry Goldman, LaVon C. Phillips, Matthew E. Piermantier
Hearing Site: Minneapolis, MN
| | |
| 20-00882 | 09/14/2020 | Claimant(s): Alicia McGovern
Claimant Lawyers(s): Todd A. Holleman
Respondent(s): Edward Jones
Respondent Lawyers(s): Robert J. Morad
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
| | |
| 18-03398 | 08/24/2020 | Claimant(s): George Wildrick
Claimant Lawyers(s): Frank Aiello
Respondent(s): Wells Fargo Clearing Services, Robert Lyons
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Barry Goldman, Patrick R. Sughroue, Tracy L. Allen
Hearing Site: Detroit, MI
|  | $54,532 |
| 19-00367 | 05/13/2020 | Claimant(s): Steve Smith
Claimant Lawyers(s): Mark S. Simms
Respondent(s): Miles James, Cetera Investment Services LLC
Respondent Lawyers(s): Christina Z. Vourakis, Jeremy A. Root
Arbitrator(s): Barry Goldman
Hearing Site: St. Louis, MO
| | $0 |
| 19-00418 | 04/30/2020 | Claimant(s): Barney Golden
Claimant Lawyers(s): J. Key Schoen
Respondent(s): UBS Financial Services Inc., Regina Onkst
Respondent Lawyers(s): Michael T. Leigh
Arbitrator(s): Robert J. Scafuri, Barry Goldman, John R. Michael
Hearing Site: Louisville, KY
| | Settlement |
| 19-02914 | 04/17/2020 | Claimant(s): Barry Eller
Claimant Lawyers(s): Barry Carson Eller
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Marcia A. Washkuhn
Arbitrator(s): Terrence J. Fleming, Barry Goldman, Leo G. Stern
Hearing Site: Des Moines, IA
| | |
| 18-04121 | 02/18/2020 | Claimant(s): Rosemary Lanzo
Claimant Lawyers(s): Michael J. Betts
Respondent(s): John Lisowski, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Barry Goldman, Michael S. Berman, John Joseph Neely
Hearing Site: Pittsburgh, PA
| | $500,000 |
| 19-01283 | 01/16/2020 | Claimant(s): Brian Addis
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Barry Goldman
Hearing Site: Cincinnati, OH
| | |
| 17-02559 | 12/24/2019 | Claimant(s): Robert Liggett, Victoria Liggett, Liggett Investments LLC, Liggett Ventures LLC, Robert G. Liggett, Jr., Custodian, Victoria L. Liggett, Trustee
Claimant Lawyers(s): Dennis J. Levasseur
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Timothy J. Currier, Barry Goldman, Betty R. Widgeon
Hearing Site: Detroit, MI
| | Settlement |
| 18-04317 | 11/08/2019 | Claimant(s): Tomas Velken
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Randolph F. Pistor
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
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