| 23-01524 | 08/13/2024 | Claimant(s): David Pfanner
Claimant Lawyers(s): David Pfanner
Respondent(s): Katie Secker, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Shawn J. Gebhardt
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cleveland, OH
|  | $0 |
| 23-01451 | 08/13/2024 | Claimant(s): Cody Taymore
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Robert J. Scafuri, Stephen D. Arkwright, Lynn Hirschfeld Brahin
Hearing Site: Detroit, MI
| | |
| 21-00120 | 08/13/2024 | Claimant(s): Ralph Shalom
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Eugene Small
Arbitrator(s): John A. Scudiero, Jay Alan Kranis, Louis Arnold Russo
Hearing Site: Jersey City, NJ
| | Expungement |
| 23-02933 | 08/13/2024 | Claimant(s): Peter Mamais
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Richard W. Cutler, Amy Banet, Diana Lucerene Armstrong-Walker
Hearing Site: New York, NY
| | |
| 23-02053 | 08/13/2024 | Claimant(s): William Stone
Claimant Lawyers(s): Alex E. Rogers
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Peter George Erdely
Hearing Site: Philadelphia, PA
| | Expungement |
| 23-03351 | 08/12/2024 | Claimant(s): Lee Rycraft
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
| | |
| 23-01670 | 08/12/2024 | Claimant(s): Harriet Moskowitz
Claimant Lawyers(s): Chase Carlson
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Randy R Freedman, Virginia Lee Perez-Berry, Melanie Anne Dernis
Hearing Site: Boca Raton, FL
| | Expungement |
| 23-03079 | 08/12/2024 | Claimant(s): Patricia Earl, Robert Earl, OCS OLI
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Brian Batson, Cary Corwin, Lion Street Financial
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Lewis Gordon Brewer, Tiffany Wax, Catherine Harper
Hearing Site: Orlando, FL
| | Dismissed by Rule 12504(a)(6)(B) |
| 23-02841 | 08/12/2024 | Claimant(s): Ivan Pelegrina
Claimant Lawyers(s): Sonia M. Lopez del Valle
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Linette Figueroa-Torres
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
| 23-01075 | 08/12/2024 | Claimant(s): Sally Gaddie
Claimant Lawyers(s): Jared A. Rose
Respondent(s): Christina Silvius, Juliann Smith, Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): Karen Roberts Washington, Del Wright, John Edward Jackson
Hearing Site: Kansas City, MO
| | Expungement |
