| 21-02610 | 05/30/2023 | Claimant(s): Luigj Perkaj
Claimant Lawyers(s): Tom De Bow
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Samuel P. Mauch
Arbitrator(s): Martin Brosnan, Richard Edward Rassel, Mark Gregory Brackon
Hearing Site: Detroit, MI
|  | Dismissed with Rule 12206 |
| 21-01974 | 05/30/2023 | Claimant(s): Betty Sprague, Eric Orkin
Claimant Lawyers(s): Meghan L. McElligott
Respondent(s): Triad Advisors LLC, Lion Street Financial
Respondent Lawyers(s): Gerry Kowalski, Kathy M. Klock
Arbitrator(s): Edward W. Morris, Howard N. Gorney, Sean Michalski
Hearing Site: Manchester, NH
| | Expungement |
| 20-03904 | 05/30/2023 | Claimant(s): Mona Petrocine
Claimant Lawyers(s): Martin Asatrian
Respondent(s): David Turetzky, Ameriprise Financial Services., Marlene Yacenda
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Paul J. Camilleri, Annamaria Boccia Smith, William A. Rome
Hearing Site: New York, NY
| | $0 |
| 21-02903 | 05/26/2023 | Claimant(s): Alan Daniels
Claimant Lawyers(s): Alan J. Daniels
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Katherine L. Schuerman
Arbitrator(s): Robert D. Sussin, David Harvey Failer, Farshad Ghodoosi
Hearing Site: Los Angeles, CA
| | Dismissed with Rule 12504 |
| 22-01428 | 05/26/2023 | Claimant(s): Carolina Tanjutco
Claimant Lawyers(s): Carolina Tanjutco
Respondent(s): NYLife Securities LLC, New York Life Insurance Company
Respondent Lawyers(s): Christopher J. Murdoch
Arbitrator(s): Carol Maria Luttati, Abigail R. Levy
Hearing Site: New York, NY
| | |
| 22-01987 | 05/26/2023 | Claimant(s): Tastyworks.
Claimant Lawyers(s): Thomas G. Haskins
Respondent(s): Cory Grandstaff
Respondent Lawyers(s): Cory Grandstaff
Arbitrator(s): Cassandra Kimberly Ward
Hearing Site: Atlanta, GA
| | $69,829 |
| 22-01227 | 05/26/2023 | Claimant(s): William Armfield
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Chase Boone Saunders
Hearing Site: Charlotte, NC
| | |
| 21-02360 | 05/25/2023 | Claimant(s): Emily Aronson
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Steven N. Ainbinder, Barry David Thorpe, Stephen Robert Tiernay
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-02748 | 05/25/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Kevin J Woods
Respondent(s): Eric Demarcus
Respondent Lawyers(s): Neda Ataie
Arbitrator(s): Peter H. Daly, Val D. Hornstein, Richard Ullman
Hearing Site: San Francisco, CA
| | |
| 22-00012 | 05/25/2023 | Claimant(s): Damon George
Claimant Lawyers(s): Damon David George
Respondent(s): United Planners' Financial Services
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Nancy E. Hochman, John M. Casey, Mark Lee Haggard
Hearing Site: Portland, OR
| | |
