| 21-02569 | 06/13/2023 | Claimant(s): Jennifer Matheson, Michael Matheson
Claimant Lawyers(s): Michael J. Giarrusso
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Cynthia A. DiMarco, Jeanne M. Keefe, Noah Jonathan Hanft
Hearing Site: New York, NY
|  | Expungement |
| 21-01815 | 06/13/2023 | Claimant(s): Estate of Charles Michael Sydlaske
Claimant Lawyers(s): David R. Lurie
Respondent(s): Russell Ray
Respondent Lawyers(s): Neal Brickman
Arbitrator(s): Joan Maxine Secofsky, Emily Diamond, Vivian Rivera Drohan
Hearing Site: New York, NY
| | |
| 22-02764 | 06/12/2023 | Claimant(s): Alan Kent
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Jackson, MS
| | |
| 23-00217 | 06/12/2023 | Claimant(s): Minjoo Lee
Claimant Lawyers(s): Minjoo Lee
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Mary Mackey
Hearing Site: San Francisco, CA
| | $0 |
| 20-02885 | 06/12/2023 | Claimant(s): Keila Cengiz
Claimant Lawyers(s): Michael M. DiCicco
Respondent(s): Brian Manning, Morgan Stanley
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Julian F. Santos, Sylvia Kaminsky, Emily Diamond
Hearing Site: Jersey City, NJ
| | Expungement |
| 19-01544 | 06/12/2023 | Claimant(s): Dawn Forman
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | $0 |
| 21-00241 | 06/09/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Keith Barnett
Respondent(s): Christopher Chance
Respondent Lawyers(s): William R. Carlisle
Arbitrator(s): Samuel Appel
Hearing Site: Atlanta, GA
| | |
| 22-01667 | 06/09/2023 | Claimant(s): Jacob Tiab
Claimant Lawyers(s): Jacob Tiab
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Joseph Winter, H. Stuart Waxman, Jeffrey Dwayne Robertson
Hearing Site: Los Angeles, CA
| | $0 |
| 22-02695 | 06/09/2023 | Claimant(s): Samuel Clark
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Royal Alliance Associates., Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Dustin J. Tirpak, Jennifer R. Cox
Arbitrator(s): Richard J. Lawrence
Hearing Site: Salt Lake City, UT
| | |
| 22-02719 | 06/09/2023 | Claimant(s): Darrell Heinen, Dave Sutton, Dustin McCurdy, Grant Wells, Harbans Lal, Herbert Nieport, Jerry Grove, Jon Miller, Mark Wells, Marlan Elbert, Richard O'Brien, Wells AG Supply, Richard and Ruth O'Brien
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Kevin Springstead, Louis Pellegriti, Patrick Cavanagh, Terry Tzagarakis
Respondent Lawyers(s): Kevin Francis Springstead, Louis Joseph Pellegriti, Patrick Joseph Cavanagh, Terry Tzagarakis
Arbitrator(s): Philip J. Glick
Hearing Site: Omaha, NE
| | $1,564,950 |
