22-00755 | 01/26/2023 | Claimant(s): David Brooks Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Securities Service Network Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Philip J. Glick Hearing Site: St. Louis, MO
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22-00582 | 01/26/2023 | Claimant(s): Larry CarlockTen Com, Nancy Carlock Ten Com, Osmo Hautanen, Russell Graham, Beverly Bunting, Dewayne Perry, Edware & Debra Hare Ten Com, Faith Perry, James & Patricia H. Eccles JTWROS, Richard Sturlese, Theodore Bunting, William Flores, Jr & Mary Flores JTWROS, Doctors Diagnostics Imaging PA, Richard & Linda Sturlese 1992 Family Tru Claimant Lawyers(s): Charles E. Scarlett, Donald L. Ferguson Respondent(s): Pershing LLC Respondent Lawyers(s): Jeffrey J. Chapman Arbitrator(s): Robert J. Gregory, Dineo Coleman Gary, Roger Dale Taylor Hearing Site: Dallas, TX
| | $0 |
22-02012 | 01/26/2023 | Claimant(s): Andrea Rose Simpson Claimant Lawyers(s): Andrew C. Simpson Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith Hoffman Arbitrator(s): Steven Gerard Goerke Hearing Site: Boca Raton, FL
| | $0 |
21-00104 | 01/26/2023 | Claimant(s): Oystein Haaverstad Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Worden Capital Management LLC, Gregory Bodkin, Jamie Worden, Salvatore Pizzimenti Respondent Lawyers(s): Charles O'Rourke, Jamie John Worden, Salvatore Pizzimenti Arbitrator(s): Jill Pilgrim, Edmund Siejka, Anjelica Cappellino Hearing Site: New York, NY
| | $67,640 |
22-00165 | 01/25/2023 | Claimant(s): Jeffrey Davis Claimant Lawyers(s): Avionam Rosenfeld Respondent(s): Kovack Securities Inc, Harvest Capital LLC Respondent Lawyers(s): Amy Towle, Ralph Giansanti Arbitrator(s): Dale S. Cronnell, Steven R. Rolnick, Andrea Joan Harman Hearing Site: Hartford, CT
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22-01505 | 01/25/2023 | Claimant(s): David Calderon Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): Morgan Stanley Respondent Lawyers(s): Andrew Joyce Arbitrator(s): Arthur Neil Tolciss, Cheryl Catherine McLarin, Alan Steven Mittleman Hearing Site: New York, NY
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20-04061 | 01/25/2023 | Claimant(s): David A. Kollar and Shirin Maria Kollar Claimant Lawyers(s): Bryan T Forman Respondent(s): TD Ameritrade. Respondent Lawyers(s): Neil S. Baritz Arbitrator(s): William E. Hartsfield, Joseph Neal Richardson, Patricia Ann Nolan Hearing Site: Dallas, TX
| | Expungement |
22-00525 | 01/24/2023 | Claimant(s): John Zhang Claimant Lawyers(s): Zachary Morse Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Julie L. Taylor Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA
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22-00686 | 01/24/2023 | Claimant(s): Gloria Barbier, Kevin Dooley Claimant Lawyers(s): Harris Freedman Respondent(s): Equitable Advisors Respondent Lawyers(s): Michael J. Biondi Arbitrator(s): Seth L. Finkel Hearing Site: Boca Raton, FL
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22-01400 | 01/24/2023 | Claimant(s): Harold Madison Claimant Lawyers(s): James P. Galvin Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Laura Ruiz Rivera Arbitrator(s): Michael Jeffrey Norton, Amani Amir Ali, Sophia C. Hassman Hearing Site: Denver, CO
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