22-00692 | 06/01/2023 | Claimant(s): Cheryl Weigel, Executrix Claimant Lawyers(s): Michael P. Stanton Respondent(s): Wells Fargo Clearing Services, Robert Cautilli Respondent Lawyers(s): Jeffery D. Rodgers, Jr. Arbitrator(s): Guillermo L. Bosch, Arnold Peter Borish, Annya Baskerville Hearing Site: Philadelphia, PA
| | Expungement |
22-02297 | 06/01/2023 | Claimant(s): Charles Failla Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Raymond, James & Associates., R.D. White & Co.. Respondent Lawyers(s): Gianluca Morello, Louis Pagano Arbitrator(s): Michael H DuBoff, Jay Alan Kranis, Joanne Basso Mack Hearing Site: New York, NY
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22-00721 | 06/01/2023 | Claimant(s): William Morrow Claimant Lawyers(s): Zachary Morse Respondent(s): Titan/Value Equities Group., Independent Financial Group., Value Equities Corporation Respondent Lawyers(s): Michael Mullenniex, Robert L. Dix, Sarah J. Kreisman Arbitrator(s): Morris S. Getzels Hearing Site: San Diego, CA
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22-00177 | 06/01/2023 | Claimant(s): Mark Bird Claimant Lawyers(s): Michael C. Bixby Respondent(s): Hugh Dunn, Michael Halkitis, The Rockwell Financial Group. Respondent Lawyers(s): Jon-Jorge Aras Arbitrator(s): Nicholas John Taldone, Meeta Alberta Bass, Sherell Edwards Hearing Site: Jacksonville, FL
| | $84,693 |
22-02233 | 05/31/2023 | Claimant(s): Phyllis Strickland Claimant Lawyers(s): Gail E. Boliver Respondent(s): Daryl Calton, Calton & Associates. Respondent Lawyers(s): Gregg J. Breitbart Arbitrator(s): Barbara M. Zak, Jay H. Feldstein, Renee Bryna Gerstman Hearing Site: Phoenix, AZ
| | Dismissed with Rule 12206 |
22-02675 | 05/31/2023 | Claimant(s): Kristina Nichols Claimant Lawyers(s): James P. Galvin Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Katelyn H. Wilson Arbitrator(s): Brian John Gallagher Hearing Site: New York, NY
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22-01108 | 05/30/2023 | Claimant(s): Mihir Jobalia Claimant Lawyers(s): Robert L. Herskovits Respondent(s): KPMG Corporate Finance LLC Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Jonathan H. Krotinger Hearing Site: San Francisco, CA
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20-02307 | 05/30/2023 | Claimant(s): Kathleen Entzminger, Michael Entzminger, Entzminger Family Trust, Entzminger Property H Trust, Entzminger Property W Trust, EFT Prado Claimant Lawyers(s): Robert D Mitchell Respondent(s): Morgan Stanley Respondent Lawyers(s): Suzette J. Barnes Arbitrator(s): Timothy J. Kroll, Jay Lawrence Witkin, Vineet Mehta Shaw Hearing Site: Phoenix, AZ
| | Expungement |
22-01283 | 05/30/2023 | Claimant(s): Lisa Massar Claimant Lawyers(s): Lisa B. Massar Respondent(s): Wells Fargo Clearing Services, Johanna Laudicina, Lauren Matles, Ronald Sirt Respondent Lawyers(s): Lindsay Wuller Aggarwal Arbitrator(s): Jerry D. McCormack, Mark A. Frankel, Laura Anne Lamberg Hearing Site: Milwaukee, WI
| | Dismissed with Rule 12504 |
21-02625 | 05/30/2023 | Claimant(s): Jeanette Long Claimant Lawyers(s): Michael Melito Respondent(s): LPL Financial LLC Respondent Lawyers(s): Neil S. Baritz Arbitrator(s): Charles G. Michaels, Rey Hernandez Julian, Kimberly Johnson Hearing Site: Denver, CO
| | Expungement |