22-00960 | 10/02/2023 | Claimant(s): Woodie T. Barnes & Lori J. Barnes Claimant Lawyers(s): Kirk G. Smith Respondent(s): Centaurus Financial. Respondent Lawyers(s): Kendra S. Canape Arbitrator(s): Jeff Kilgore, June Ann Mann, Stanley Edward Williams Hearing Site: Houston, TX
| | Expungement |
21-01865 | 10/02/2023 | Claimant(s): Edward Quam, Faun Doherty, Gudryn Doherty Claimant Lawyers(s): Frank C. Botta Respondent(s): Daniel Levine, Morgan Stanley Respondent Lawyers(s): Daniel Todd Levine, Nicholas J. Hernandez Arbitrator(s): James T. Carney, Mary Mackey, Thomas J Zahren Hearing Site: Pittsburgh, PA
| | Expungement |
22-02046 | 09/29/2023 | Claimant(s): Enrique Lopez Claimant Lawyers(s): Daniel D'Costa Respondent(s): LPL Financial LLC Respondent Lawyers(s): Rochelle Mayfield Arbitrator(s): Steven Akiba Swernofsky, Vincent Vereen, Robert Weston Nuzum Hearing Site: Houston, TX
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23-00905 | 09/29/2023 | Claimant(s): Jeffrey Schultz Claimant Lawyers(s): Joel Everest Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): Richard W. Dissen Hearing Site: Louisville, KY
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23-01781 | 09/29/2023 | Claimant(s): Nancy Gabany Claimant Lawyers(s): David I. Hantman Respondent(s): Comerica Securities Respondent Lawyers(s): Susan C. Nystrom Arbitrator(s): G. Maynard Green Hearing Site: Houston, TX
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23-00505 | 09/29/2023 | Claimant(s): David Wentz Claimant Lawyers(s): James P Galvin Respondent(s): Ameritas Investment Company Respondent Lawyers(s): Andrea Snowden Arbitrator(s): David A. Schuler Hearing Site: Kansas City, MO
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20-02356 | 09/29/2023 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Gary I. Blackman Respondent(s): Scott Reed Respondent Lawyers(s): Caroline Saunders Arbitrator(s): Marc Kalish, Althea P. Halchuck, LeRoy Melvin Gilbertson Hearing Site: Phoenix, AZ
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23-00815 | 09/29/2023 | Claimant(s): Nathan Macdonald Claimant Lawyers(s): Samuel E. Cohen Respondent(s): Cetera Advisors LLC Respondent Lawyers(s): David Feldstein Arbitrator(s): Samuel H. Chorches, Howard N. Gorney, John Francis Markuns Hearing Site: Augusta, ME
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23-00110 | 09/29/2023 | Claimant(s): Darryl Fyall Claimant Lawyers(s): Dochtor Kennedy Respondent(s): MSI Financial Services. Respondent Lawyers(s): Martin Harris Arbitrator(s): Michael J. Ahlstrom Hearing Site: Columbia, SC
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23-01461 | 09/28/2023 | Claimant(s): Debra Gordon Claimant Lawyers(s): Debra Gordon Respondent(s): Quoin Capital LLC Respondent Lawyers(s): Robert I. Rabinowitz Arbitrator(s): Pamela A. Kentra Hearing Site: Chicago, IL
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