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
| | |