| 21-03046 | 02/10/2023 | Claimant(s): Anne Holland-McCowan
Claimant Lawyers(s): Aaron Lee Arndt
Respondent(s): Andrew Hess, Sanford C. Bernstein & Co.
Respondent Lawyers(s): Brian T. Burns
Arbitrator(s): Joseph Winter, Kenneth M. Weinman, Adam Michael Porter
Hearing Site: Los Angeles, CA
|  | Expungement |
| 22-00590 | 02/09/2023 | Claimant(s): Ricardo Aguirre
Claimant Lawyers(s): Ricardo Aguirre
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Stephanie E. Simmons
Hearing Site: Houston, TX
| | Dismissed by Rules 12212(c), 12511(b) and 12603 |
| 22-00945 | 02/09/2023 | Claimant(s): Thomas Freeman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): David A. Schuler
Hearing Site: Kansas City, MO
| | |
| 22-01390 | 02/09/2023 | Claimant(s): Michael Briese
Claimant Lawyers(s): Thomas J. Cahill
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Scott R. Koch
Arbitrator(s): Michael S. Lazan
Hearing Site: New York, NY
| | |
| 22-01576 | 02/09/2023 | Claimant(s): William Crull
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons., FSC Securities Corporation
Respondent Lawyers(s): Deirdre Wolff, Justin Sacca
Arbitrator(s): Simeon B. Reimonenq
Hearing Site: New Orleans, LA
| | |
| 20-03378 | 02/09/2023 | Claimant(s): Gregory Smith, Sarah Smith
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Oppenheimer & Co.., Thomas Kruse
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Robert J. Scafuri, Mark Gregory Brackon, Kader M Alcodray
Hearing Site: Detroit, MI
| | $70,000 |
| 22-01650 | 02/09/2023 | Claimant(s): Russell Mcalonie
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC, MML Investors Services
Respondent Lawyers(s): Julie E. Ravis, Sara B. Davis
Arbitrator(s): Gregory G. Gocek
Hearing Site: Cleveland, OH
| | |
| 21-01720 | 02/09/2023 | Claimant(s): C. Woodcock
Claimant Lawyers(s): David F. Olsky
Respondent(s): George McCaffrey, NTB Financial Corporation
Respondent Lawyers(s): Frank W. Visciano, George McCaffrey
Arbitrator(s): Mari C. Bush, Deanna M. Tuley
Hearing Site: Denver, CO
| | $300,000 |
| 19-00953 | 02/08/2023 | Claimant(s): Ann Goldberg, Marc Goldberg
Claimant Lawyers(s): Gary Menzer
Respondent(s): Corey Engelhard, Wells Fargo Advisors
Respondent Lawyers(s): Christopher M. Sacco, Paul Yarns
Arbitrator(s): Monroe Mitchel
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-02427 | 02/08/2023 | Claimant(s): Catalina Hernandez-Sanchez, Luis Juarez-Hernandez
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Jeff Kilgore, Brian James Tagtmeier, Mina Banerjee
Hearing Site: Houston, TX
| | Expungement |
