| 22-00227 | 10/30/2023 | Claimant(s): Lauren Gazzola as AIF for Robert Gazzola, The Robert Gazzola Irrevocable Trust
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Jud Perkins, David Adams Reif, Ilene J Feldman
Hearing Site: Hartford, CT
|  | Dismissed by Rule 12212© |
| 22-00316 | 10/30/2023 | Claimant(s): Cantor Fitzgerald & Co.
Claimant Lawyers(s): David Paul
Respondent(s): Adil Sener, John Bills, Kevin Phillips, Robert Kavanagh, Schuyler Fabian, Pei Global Partners LLC
Respondent Lawyers(s): Joshua D. Liston
Arbitrator(s): Michael S. Lazan, Eric Zaidins, Richard M Kosnik
Hearing Site: New York, NY
| | |
| 23-00732 | 10/30/2023 | Claimant(s): David Dietrich
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 22-02914 | 10/30/2023 | Claimant(s): Paul Michlik
Claimant Lawyers(s): Paul Michlik
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Ronald N. Roth, Erik R. Siering, Anatoly Tony Zuban
Hearing Site: San Diego, CA
| | |
| 23-00670 | 10/30/2023 | Claimant(s): Dianne Odom
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Woodbury Financial Services., J.W. Cole Financial., Transamerica Financial Advisors
Respondent Lawyers(s): Gregg J. Breitbart, Jennifer R. Cox, Susan D. Duff
Arbitrator(s): David M. Snyder, Nathan Jon Larson, Bryant Ashley Scriven
Hearing Site: Tampa, FL
| | |
| 22-01360 | 10/30/2023 | Claimant(s): Ronald Inlow
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Eric Ludovico, Mark Stewart, Michael Barrows
Respondent Lawyers(s): Justin Chretien, Nicholas J. Yocca
Arbitrator(s): Stephen Howard Marcus, Jason Moriarty, Lawrence Wayne Sarokin
Hearing Site: Los Angeles, CA
| | $1,046,420 |
| 23-01258 | 10/30/2023 | Claimant(s): Lois Graves, W. Graves
Claimant Lawyers(s): W. Joseph Graves
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Susan L. Walker
Hearing Site: Indianapolis, IN
| | $0 |
| 22-02837 | 10/27/2023 | Claimant(s): Tastyworks.
Claimant Lawyers(s): Ilana Zelener
Respondent(s): Toan Tran
Respondent Lawyers(s): Toan Tran
Arbitrator(s): Andrew W. Levin
Hearing Site: Los Angeles, CA
| | $0 |
| 19-03272 | 10/27/2023 | Claimant(s): 1926 Realty LItigation
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Carlos Benitez, Jeffrey Marcus, Jesus Gangi, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Fred S. Pieroni, Cheryl H. Agris, Erica Bunin
Hearing Site: Jersey City, NJ
| | Expungement |
| 23-00346 | 10/27/2023 | Claimant(s): James LaNeave
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): SII Investments.
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Richard James Igou
Hearing Site: Richmond, VA
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