| 20-03589 | 08/25/2023 | Claimant(s): Anita Glick, Gary Glick
Claimant Lawyers(s): Anita Glick, Gary Glick
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Anna K. Stark
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
|  | Expungement |
| 23-00194 | 08/25/2023 | Claimant(s): Shelby Rothman
Claimant Lawyers(s): Harris Freedman
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 22-02309 | 08/25/2023 | Claimant(s): Harry Orth, Kimberlee Orth
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Louis P. Wagman
Hearing Site: Wilmington, DE
| | |
| 23-01149 | 08/25/2023 | Claimant(s): Erik Utzinger
Claimant Lawyers(s): Erik Douglas Utzinger
Respondent(s): World Group Securities.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
| 21-02447 | 08/25/2023 | Claimant(s): Estate of Richard O. Bertschinger
Claimant Lawyers(s): Bryan J. Nowlin
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Karen Roberts Washington, Diane Shafer Goldschmidt, Brian James Tagtmeier
Hearing Site: Oklahoma City, OK
| | $0 |
| 23-01165 | 08/25/2023 | Claimant(s): Lashell Lentz
Claimant Lawyers(s): David I. Hantman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): Leon Fox
Hearing Site: Milwaukee, WI
| | |
| 22-02741 | 08/24/2023 | Claimant(s): Eric Dade
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Concourse Financial Group Securities, In
Respondent Lawyers(s): Destinee Campbell Small
Arbitrator(s): James Michael Belk
Hearing Site: Charlotte, NC
| | |
| 22-01504 | 08/24/2023 | Claimant(s): Terrence Ransom
Claimant Lawyers(s): Robert D. Loventhal
Respondent(s): Richard Gozola
Respondent Lawyers(s): Richard W. Gozola
Arbitrator(s): Emily B. Boote, Martin D. Munic, Phyllis Karasov
Hearing Site: Minneapolis, MN
| | Expungement |
| 21-01800 | 08/24/2023 | Claimant(s): Rudolph Baker
Claimant Lawyers(s): Rudolph Baker
Respondent(s): E*Trade Securities LLC, TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Christopher A. Stecher, John Bersin
Arbitrator(s): Joseph C. Watson, W. Alex King, Richard Andrew Roupoli
Hearing Site: Los Angeles, CA
| | $0 |
| 22-02748 | 08/23/2023 | Claimant(s): Frederick Kort
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
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