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
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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
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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
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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
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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
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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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