22-01546 | 09/28/2023 | Claimant(s): Eric Dolin Claimant Lawyers(s): Wilmer D. Masterson Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Emma M. Tomsick Arbitrator(s): Michele N. O'Brien, Stephen Andrew McCarthy, Bernardo S. Garza Hearing Site: Houston, TX
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23-00221 | 09/28/2023 | Claimant(s): Eric Rapczyk Claimant Lawyers(s): Craig Riha Respondent(s): National Securities Corporation Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): Joan Maxine Secofsky, Brian Ken Kawakami, Karen Isabel Bedrosian - Richardson Hearing Site: New York, NY
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22-02025 | 09/28/2023 | Claimant(s): Sandra Diggs Claimant Lawyers(s): Joseph S. Simms Respondent(s): State Farm VP Management Corp. Respondent Lawyers(s): Brooke D. Clarkson Arbitrator(s): Mark L Miller, Emily J. Lewis, Matthew Harold Fields Hearing Site: Columbus, OH
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22-02618 | 09/28/2023 | Claimant(s): Cynthia Perry Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Umb Financial Services. Respondent Lawyers(s): Shannon M. Wheaton Arbitrator(s): Michael S. Jordan Hearing Site: Kansas City, MO
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20-00554 | 09/28/2023 | Claimant(s): Brenda Blisk, Spire Investment Partners, Spire Securities, Spire Wealth Management Claimant Lawyers(s): Matthew C. Plant Respondent(s): Cecile Hult, Dianne Nolin, Eric Ashburn, Joseph Gallemore, Argent Bridge Advisors Respondent Lawyers(s): Kate E. DiGeronimo Arbitrator(s): Patricia H. Latham, Jonathan Edward Levine, Jay N. Lazrus Hearing Site: Washington, DC
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23-00726 | 09/28/2023 | Claimant(s): Julia Fasano Claimant Lawyers(s): Julia N. Fasano Respondent(s): Carol Dahl Respondent Lawyers(s): Ellen M. Murphy Arbitrator(s): Cynthia Kouril Hearing Site: New York, NY
| | $20,425 |
22-02264 | 09/28/2023 | Claimant(s): Barry Kiront Claimant Lawyers(s): John Stewart Respondent(s): Woodstock Financial Group. Respondent Lawyers(s): William J. Raike Arbitrator(s): Lisa Catalano, William A. Rome, Clive I. Morrick Hearing Site: New York, NY
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20-02205 | 09/27/2023 | Claimant(s): Sidney Kruger Living Trust Claimant Lawyers(s): Jonathan Noble David Respondent(s): Wells Fargo Advisors, Mara Schainuck, Sharon Miller Respondent Lawyers(s): Sara Soto Arbitrator(s): Seth L. Finkel, Sydney E. Blum, Mark A Bilawsky Hearing Site: Boca Raton, FL
| | Expungement |
22-00133 | 09/27/2023 | Claimant(s): Aaron Siegel, Aaron Siegel Rev. Trust DTD 02/19/2004 Claimant Lawyers(s): Aaron Siegel Respondent(s): LPL Financial LLC Respondent Lawyers(s): Matthew Bohenek Arbitrator(s): Robert J. Scafuri, Mark Leslie Small, Matt Bosco Hearing Site: Detroit, MI
| | Dismissed by Rule 12212© |
22-02818 | 09/27/2023 | Claimant(s): Christopher Aitken, Roy Tonning Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Richard S. Zaifert Hearing Site: Jacksonville, FL
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