| 23-00013 | 10/21/2024 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Robert Fitzpatrick
Respondent(s): Kyle Manning
Respondent Lawyers(s): Kyle Manning
Arbitrator(s): Zung T. Nguyen, Noah Jonathan Hanft, Maurice Robinson
Hearing Site: New York, NY
| | |
| 22-02051 | 10/21/2024 | Claimant(s): Darren Oglesby
Claimant Lawyers(s): Patrick S. Wolleson
Respondent(s): Amber Fife, Wells Fargo Clearing Services, Michael Ryan
Respondent Lawyers(s): Thomas K. Potter
Arbitrator(s): Mark A. Myers, Kenneth R. Starr, Robert E. Graves
Hearing Site: Jackson, MS
| | |
| 23-03231 | 10/21/2024 | Claimant(s): Anita Marchesani, Colleen Stremel, Douglas Hodczak, Frank Marchesani, Lauren LaPlante-Rottman IRA, Scotty Beevers
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): John Pisapia, Chelsea Financial Services
Respondent Lawyers(s): Michael Utilla
Arbitrator(s): Denise L. Presley, Gene M. Bauer, John George Neylon
Hearing Site: Boston, MA
|  | Dismissed by Rule 12206(a) |
| 23-01092 | 10/18/2024 | Claimant(s): Dale Duchscherer
Claimant Lawyers(s): Brandon Dei
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Craig A. Riha
Arbitrator(s): Steven A. Harris, Michael S. Lazan, Cheung David Chhieng
Hearing Site: New York, NY
| | $0 |
| 23-02995 | 10/18/2024 | Claimant(s): Robert Eide
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): William E. Nuckel
Hearing Site: New York, NY
| | |
| 23-02980 | 10/18/2024 | Claimant(s): Joseph Medina
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Neil G. Gargiulo, Gerry E. Feinberg, William E. Nuckel
Hearing Site: New York, NY
| | |
| 23-01412 | 10/18/2024 | Claimant(s): Christopher Conness
Claimant Lawyers(s): Harris Freedman
Respondent(s): G.F. Investment Services
Respondent Lawyers(s): Larry Yager
Arbitrator(s): Gerald Silverman
Hearing Site: Boca Raton, FL
| | |
| 23-01792 | 10/18/2024 | Claimant(s): Willard Holgate, Willard G. Holdgate SEP IRA, Willard G. Holgate IRA
Claimant Lawyers(s): Samuel Edwards
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Elena Dilorio, Phyllis Ann Diamond, Temitope Oluyomi Popoola
Hearing Site: Houston, TX
| | $106,468 |
| 23-00470 | 10/18/2024 | Claimant(s): Robert Forte
Claimant Lawyers(s): Kyle M. Kulzer
Respondent(s): David Boral, Joseph Rallo, Benchmark Investments
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Peter A. Goldman, Laurel Ann Brien, Maurice Robinson
Hearing Site: New York, NY
| | |
| 23-01460 | 10/17/2024 | Claimant(s): Kevin Farrow
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): LPL Financial LLC, Cuna Brokerage Services., Suncoast Credit Union
Respondent Lawyers(s): Amy L. Drushal, Neil S. Baritz, Sandra D. Grannum
Arbitrator(s): Jacquelyn M. Shannon, Dempsey Reno Adkins, Andrea M Johnson
Hearing Site: Tampa, FL
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