| 22-00379 | 06/30/2023 | Claimant(s): Vukich Family Trust U/A Dated 07/17/2003
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Hulley, Richard Sanders
Respondent Lawyers(s): Kelly L. Doyle
Arbitrator(s): Barbara M. Zak, Eric Gad Forster, Jack R. Goetz
Hearing Site: Los Angeles, CA
|  | Expungement |
| 20-02297 | 06/30/2023 | Claimant(s): Thomas Jester
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Carl Williams, Diane Buchanan, Stephanie Elliott, Chapin Davis
Respondent Lawyers(s): Douglas W. Hyman, Michael P. Shaw
Arbitrator(s): Steven H. Vogel, Joseph A. Landa, Iris Sagrado
Hearing Site: Chicago, IL
| | |
| 22-02037 | 06/30/2023 | Claimant(s): Jeff Han
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | |
| 21-00090 | 06/29/2023 | Claimant(s): Ralph Gatto Roth IRA, Ralph and Vicki Gatto Living Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kristine R. Thomson
Arbitrator(s): Minnie Loo, Daniel M. Yamshon, Lawrence R. Mills
Hearing Site: San Francisco, CA
| | Expungement |
| 22-02657 | 06/29/2023 | Claimant(s): Justin Goodbread
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securian Financial Services.
Respondent Lawyers(s): Lisa Stopfer
Arbitrator(s): John Winslow Griesser
Hearing Site: Nashville, TN
| | |
| 21-03069 | 06/29/2023 | Claimant(s): Mark Mills
Claimant Lawyers(s): Thomas C Allison
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Steven Gerard Goerke, S. Ronald Daniels, Jan Duda Krafczek
Hearing Site: Boca Raton, FL
| | $10,440 |
| 23-00069 | 06/29/2023 | Claimant(s): Jennifer Meier, Sean Cowan
Claimant Lawyers(s): Jennifer Kim Meier, Sean Patrick Cowan
Respondent(s): MainVest.
Respondent Lawyers(s): Nick Mathews
Arbitrator(s): Ronald Harris Kisner
Hearing Site: New York, NY
| | $0 |
| 22-01661 | 06/29/2023 | Claimant(s): Benjamin Rampe
Claimant Lawyers(s): Benjamin Rampe
Respondent(s): Fidelity Brokerage Services LLC, Fidelity Management Trust Company
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Samuel H. Chorches, John M. D'Amico, David S. Godkin
Hearing Site: Providence, RI
| | $440 |
| 22-02982 | 06/28/2023 | Claimant(s): Steven Buchanan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 22-02723 | 06/28/2023 | Claimant(s): Frederick Kort
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
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