20-03928 | 03/24/2023 | Claimant(s): ODS Capital Claimant Lawyers(s): Jo Ann Palchak Respondent(s): Pershing LLC, Celadon Financial Group, Merrill Lynch Professional Clearing Corp Respondent Lawyers(s): Brian F. Amery, Lawrence Portnoy, Ronald Shindler Arbitrator(s): George G. Kurschner, Milena Domenica Macias, Martin I Jaffe Hearing Site: Boca Raton, FL
| | $0 |
22-01625 | 03/15/2023 | Claimant(s): Lawrence Ford Claimant Lawyers(s): La Verne C. Simmons Respondent(s): Pershing LLC, Principal Securities., Principal Financial Group Respondent Lawyers(s): Kathryn R. Eldridge Arbitrator(s): William W. Haskell, David I. Levine, Michael D. Briggs Hearing Site: San Francisco, CA
| | $0 |
22-00582 | 01/26/2023 | Claimant(s): Larry CarlockTen Com, Nancy Carlock Ten Com, Osmo Hautanen, Russell Graham, Beverly Bunting, Dewayne Perry, Edware & Debra Hare Ten Com, Faith Perry, James & Patricia H. Eccles JTWROS, Richard Sturlese, Theodore Bunting, William Flores, Jr & Mary Flores JTWROS, Doctors Diagnostics Imaging PA, Richard & Linda Sturlese 1992 Family Tru Claimant Lawyers(s): Charles E. Scarlett, Donald L. Ferguson Respondent(s): Pershing LLC Respondent Lawyers(s): Jeffrey J. Chapman Arbitrator(s): Robert J. Gregory, Dineo Coleman Gary, Roger Dale Taylor Hearing Site: Dallas, TX
| | $0 |
21-00765 | 11/29/2022 | Claimant(s): Alan Chambers, Lisa Chambers Claimant Lawyers(s): Robert D. Loventhal Respondent(s): Pershing LLC, Rodney Rollins, Next Financial Group. Respondent Lawyers(s): Edward Zusman Arbitrator(s): Philip Aaron Tymon Hearing Site: San Francisco, CA
| | Expungement |
21-02173 | 10/13/2022 | Claimant(s): Adi Mistry, Dianne Callahan, Philip Tyne, Ronda Smith, Saad Bargach, Wylly Guterman, Big Horn Auto Sales., Buffalo Auto Sales., Donald D. Hunt Jr. & Rosalyn J. Hunt TIC, H. Iskiwitz & Co. Inc. Def. Ben Pension, NV 31 Investments LLC, Sculper Partners Ltd, Estate of Charles Ernest Rieves, Sr., Estate of Morris Rosenthal, Adi Mistry IRA, Anwar and Salma Kajani, Edward Henigin & Annette Sullinger JT, Edwin and Audrey Tinsley JT TEN, Frank and Sandra Bianco, James & Kalen Haun JT TEN, Kenneth C. and Mary C. Montgomery, Mark and Jo Lynn Stephens TIC, Michael & Gwendolyn Radabaugh JT TEN, Todd J. and Sheryl Stephens TOD, Allen & Patricia Iskiwitz Trust, David Hardesty IRA, Kenneth C. Montgomery IRA, Silberman Family Trust LP Claimant Lawyers(s): Donald L. Ferguson Respondent(s): Pershing LLC Respondent Lawyers(s): Jeffrey J. Chapman Arbitrator(s): Andrea U. Calve, Douglas Wade Carvell, Robert Clary Hearing Site: Dallas, TX
| | $0 |
20-00922 | 07/08/2021 | Claimant(s): Angie Villemarette, Barbara Belaire, Betty Simon, Bobby Belaire, Brenda Bridges, Celia Musick, Charles Babin, Charles Pope, Charlie Hayek, Craig Nelson, Cynthia Nelson, David Herndon, Dean Simon, Edna Belaire, Frankie Bono, Hazel Decoto, Huey Decoto, Isom Cagle, J. Mothershed, Jimmie Bridges, Joann Herndon, Joyce Cagle, Kathleen Gilmartin, Kenneth Musick, Lennard Belaire, Michael Teague, Millicent Babin, Steven Graham, Susan Lankford, Victoria Guennewig, The Estate of Gerald Brauser, Craig D. Nelson IRA, David E. Herndon IRA, Dudley Devore IRA, Frankie Wayne Bono IRA, George M. Glantz IRA, Huey P. DeCoto IRA, James T. Dorris IRA, Joyce E. Cagle IRA, Kenneth Musick IRA, Lennarde J. Belaire IRA, Richard Griswold IRA, Susan Kay Lankford IRA, Thomas Guennewig IRA, Walter J. Eldredge IRA, George M. Glantz Revocable Trust Claimant Lawyers(s): Donald L. Ferguson Respondent(s): Pershing LLC Respondent Lawyers(s): Jeffrey J. Chapman Arbitrator(s): Synthia L. Taylor, Eric Ross Cromartie, Anisha Kinra Hearing Site: Dallas, TX
| | $648,543 |
19-00474 | 03/25/2021 | Claimant(s): Alberto Nieves, Gladys Anton Claimant Lawyers(s): Darryl J. Bouganim Respondent(s): Pershing LLC Respondent Lawyers(s): Jeffrey J. Chapman Arbitrator(s): Jack Friedman, Mary Ellen Burns, Edmund Timothy Donovan Hearing Site: New York, NY
| | $250,000 |
19-03357 | 03/25/2021 | Claimant(s): Terlink Claimant Lawyers(s): Michael J. Stanley Respondent(s): Pershing LLC Respondent Lawyers(s): Jeffrey J. Chapman Arbitrator(s): David C. Redford, Stephanie E. Simmons, Kevin Colby Hearing Site: Houston, TX
| | $0 |
19-03356 | 03/12/2021 | Claimant(s): Eugenio Sanchez, Gloria Nunez de Landavazo, Humberto Peniche, Jessica Sordo, Lorenia Bustamante-Ibarra, Pablo Hernandez, Salvador Garcia-Ledesma, Elden LTD Claimant Lawyers(s): Michael J. Stanley Respondent(s): Pershing LLC Respondent Lawyers(s): Jeffrey J. Chapman Arbitrator(s): Allan R. Lazor, Joshua Charles Nelson-Archer, Denise Ereka Peterson Hearing Site: Houston, TX
| | $750 |
19-03165 | 11/09/2020 | Claimant(s): Christopher Prassas Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Pershing LLC, Credit Suisse Securities (USA) LLC Respondent Lawyers(s): Deborah Burstein, Joan Schwartz Arbitrator(s): Susan L. Walker Hearing Site: Chicago, IL
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