| 22-00861 | 11/29/2022 | Claimant(s): Michael Ballard
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Madison Avenue Securities
Respondent Lawyers(s): Bradley Ziegler
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
| | |
| 22-01867 | 11/29/2022 | Claimant(s): Jason Dworak
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Gregory G. Gocek
Hearing Site: Omaha, NE
| | |
| 21-00765 | 11/29/2022 | Claimant(s): Alan Chambers, Lisa Chambers
Claimant Lawyers(s): Robert D. Loventhal
Respondent(s): Pershing LLC, Rodney Rollins, Next Financial Group.
Respondent Lawyers(s): Edward Zusman
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
|  | Expungement |
| 21-01196 | 11/29/2022 | Claimant(s): Edward Abrams, Hildie Abrams, Edward Abrams IRA, Hildie Abrams IRA
Claimant Lawyers(s): Edward Adams
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Charles G. Michaels, Donald N. Tolin, Rebecca Sone O'Rourke
Hearing Site: Denver, CO
| | Expungement |
| 20-01614 | 11/29/2022 | Claimant(s): Joan Washington
Claimant Lawyers(s): Joan B. Washington
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Douglas Earl McLaren, Elizabeth Louise Carswell, Jacqueline A Tran
Hearing Site: Washington, DC
| | Expungement |
| 22-00522 | 11/28/2022 | Claimant(s): Michael Valiente
Claimant Lawyers(s): Zachary Morse
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
| | |
| 22-00917 | 11/28/2022 | Claimant(s): Yan Binder
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Jeffrey D. Rodgers
Arbitrator(s): Stuart Bruce Klein, Robert G. Geeseman, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | |
| 21-00408 | 11/28/2022 | Claimant(s): Johnathan Short
Claimant Lawyers(s): Craig H. Kuglar
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): James C. Hoover, Bruce W. Bennett, Eve M Wright
Hearing Site: Atlanta, GA
| | Expungement |
| 21-01564 | 11/28/2022 | Claimant(s): Angela Quinn, Curtis Wilson, Gloria Lotz, Jeffrey Temeyer, Leonard Kobliska, Linda Wilson, Michael Decker, Rick Kayser, Sheila Fangman, Steve Lint, William Brandenburg, William Lotz, William Quinn
Claimant Lawyers(s): Gail Boliver
Respondent(s): Ashley Bolson, Dana Vietor, CFD Investments.
Respondent Lawyers(s): Andrew R. Shedlock, Gary S. Kessler
Arbitrator(s): Steven C. Despotovich, Charles A. Palmer, Peter C Hildreth
Hearing Site: Des Moines, IA
| | $5,702,980 |
| 20-01934 | 11/25/2022 | Claimant(s): Jack Thomas
Claimant Lawyers(s): W. D. Masterson
Respondent(s): USAA Investment Services Company
Respondent Lawyers(s): David W. Erb
Arbitrator(s): James W. Kerr, John Kenneth Popham, Brian Patrick Ashley
Hearing Site: Dallas, TX
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