| 24-00472 | 10/24/2024 | Claimant(s): Michelle Anthony
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Matthew P. Fischer
Arbitrator(s): Barbara M. Zak
Hearing Site: Phoenix, AZ
| | |
| 23-02908 | 10/24/2024 | Claimant(s): Anthony Buono, Michael Burkoff
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Joseph W. Lodato, Veera V. Konka, Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 24-00803 | 10/24/2024 | Claimant(s): D.A. Davidson & Co.
Claimant Lawyers(s): Nancy L Hendrickson
Respondent(s): Gregg Whelan
Respondent Lawyers(s): Austin Davis
Arbitrator(s): Robert D. Sussin, Jeffrey L. Malek, Anna Marie Turco
Hearing Site: Los Angeles, CA
| | |
| 23-02144 | 10/24/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Frank J. Cuccio
Respondent(s): Linda Borst
Respondent Lawyers(s): Matthew J. Klieger
Arbitrator(s): Edward W. Morris, Lorrie E Whitfield, Miki Herrick
Hearing Site: New York, NY
| | |
| 23-02871 | 10/23/2024 | Claimant(s): Andrew Stout
Claimant Lawyers(s): Peter Lindholm
Respondent(s): WAMU Investments., UBS Financial Services Inc., Citicorp Investment Services
Respondent Lawyers(s): Adam Kaufforate Officer, John Murphy
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | |
| 22-01398 | 10/23/2024 | Claimant(s): Daniel Simon
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): John Schlagheck
Respondent Lawyers(s): John Francis Schlagheck
Arbitrator(s): Leonard M. Goldstein, Dennis C Moore, Craig Zofchak
Hearing Site: Denver, CO
|  | $122,402 |
| 24-00073 | 10/23/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Miles D. Hart
Respondent(s): Thomas Braley
Respondent Lawyers(s): Thomas Alan Braley
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | |
| 23-01004 | 10/22/2024 | Claimant(s): Douglas McCredy, Gregory Dente
Claimant Lawyers(s): Ryan Cook
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Louis Arnold Russo
Hearing Site: Jersey City, NJ
| | Expungement |
| 22-02533 | 10/22/2024 | Claimant(s): Bruce Gallagher, Kathleen Gallagher, on behalf of his IRA, on behalf of her IRA, Bruce and Kathleen Gallagher, jointly
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Richard S. Zaifert, David M. Snyder, Carolyn E. Moore
Hearing Site: Tampa, FL
| | Expungement |
| 24-00283 | 10/21/2024 | Claimant(s): Brian Bova
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cabot Lodge Securities LLC
Respondent Lawyers(s): James Baehr
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
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