| 20-02343 | 02/07/2022 | Claimant(s): Mark W. Just, On Behalf of his IRA
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Center Street Securities.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Maurice M. Feller, Stephen Earl Clark, Douglas Charles Weinstein
Hearing Site: Nashville, TN
|  | Expungement |
| 19-01267 | 04/06/2021 | Claimant(s): Jackie Sterling
Claimant Lawyers(s): Steven Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Harvey R. Linder, Stephen Earl Clark, Daniel Mora
Hearing Site: Nashville, TN
| | Expungement |
| 20-00301 | 04/02/2021 | Claimant(s): Kay LaMon
Claimant Lawyers(s): Jeff Goodwyn
Respondent(s): LPL Financial LLC, Richard Dearinger
Respondent Lawyers(s): Michael A. Brady
Arbitrator(s): Michael J. Ahlstrom, Stuart K. Furman, Stephen Earl Clark
Hearing Site: Columbia, SC
| | $0 |
| 18-02750 | 10/30/2019 | Claimant(s): Jerry Steelman
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Woodstock Financial Group.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Thomas Joseph Atkinson, Stephen Earl Clark, Richard Manuel Barcia
Hearing Site: Memphis, TN
| | $154,000 |
| 11-04215 | 05/14/2014 | Claimant(s): Miroslav Mitusina, B&M Precision
Claimant Lawyers(s): Scott W. Fitzpatrick
Respondent(s): Frederick Rock, Fifth Third Securities.
Respondent Lawyers(s): Robert R. Warchola
Arbitrator(s): Jerrold E. Slutzky, Russell W. Merriman, Stephen Earl Clark
Hearing Site: Tampa, FL
| | Expungement |
| 07-02494 | 10/07/2008 | Claimant(s): John Gentis
Claimant Lawyers(s): Michael C. Addison
Respondent(s): ING America Equities.
Respondent Lawyers(s): Theodore J. Sawicki
Arbitrator(s): Paul Sidney Elliott, JD, William R. Turner, Stephen Earl Clark
Hearing Site: Tampa, FL
| | $100 |
