21-02933 | 10/14/2022 | Claimant(s): Li Lin Rood, Richard Rood Claimant Lawyers(s): Li Lin Rood Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Garrett R. Wynne Arbitrator(s): Elwood C. Avery Hearing Site: Seattle, WA
| | $0 |
21-01661 | 10/13/2022 | Claimant(s): Joseph Pietrykowski Claimant Lawyers(s): Todd A. Zuckerbrod Respondent(s): Santander Securities LLC Respondent Lawyers(s): Stuart D. Roberts Arbitrator(s): Richard W. Cutler, Linda Ashley, Jerome Francis Cangialosi Hearing Site: New York, NY
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22-01044 | 10/13/2022 | Claimant(s): Maxine Kovalkoski, Paul Kovalkoski Claimant Lawyers(s): Alex E. Rogers Respondent(s): LPL Financial LLC Respondent Lawyers(s): Kelsey Vasko Arbitrator(s): Annamaria Boccia Smith Hearing Site: Jersey City, NJ
| | Expungement |
21-01427 | 10/13/2022 | Claimant(s): Nancy Flaherty Claimant Lawyers(s): Ryan Gustafson Respondent(s): LPL Financial LLC, Shawn Hochuli Respondent Lawyers(s): Tracey Salmon-Smith Arbitrator(s): Victoria E Johnson, Constance Ellen Boukidis, Barry D. Kaye Hearing Site: Los Angeles, CA
| | $0 |
21-02173 | 10/13/2022 | Claimant(s): Adi Mistry, Dianne Callahan, Philip Tyne, Ronda Smith, Saad Bargach, Wylly Guterman, Big Horn Auto Sales., Buffalo Auto Sales., Donald D. Hunt Jr. & Rosalyn J. Hunt TIC, H. Iskiwitz & Co. Inc. Def. Ben Pension, NV 31 Investments LLC, Sculper Partners Ltd, Estate of Charles Ernest Rieves, Sr., Estate of Morris Rosenthal, Adi Mistry IRA, Anwar and Salma Kajani, Edward Henigin & Annette Sullinger JT, Edwin and Audrey Tinsley JT TEN, Frank and Sandra Bianco, James & Kalen Haun JT TEN, Kenneth C. and Mary C. Montgomery, Mark and Jo Lynn Stephens TIC, Michael & Gwendolyn Radabaugh JT TEN, Todd J. and Sheryl Stephens TOD, Allen & Patricia Iskiwitz Trust, David Hardesty IRA, Kenneth C. Montgomery IRA, Silberman Family Trust LP Claimant Lawyers(s): Donald L. Ferguson Respondent(s): Pershing LLC Respondent Lawyers(s): Jeffrey J. Chapman Arbitrator(s): Andrea U. Calve, Douglas Wade Carvell, Robert Clary Hearing Site: Dallas, TX
| | $0 |
22-00816 | 10/13/2022 | Claimant(s): Joel Ratzker Claimant Lawyers(s): Joel Ratzker Respondent(s): Transamerica Capital. Respondent Lawyers(s): Katherine C. Donlon Arbitrator(s): Judith C. Zerden Hearing Site: New York, NY
| | $0 |
21-02184 | 10/13/2022 | Claimant(s): Dan Shalhoub Claimant Lawyers(s): Robert Kerrigan Respondent(s): Worden Capital Management LLC, Jamie Worden Respondent Lawyers(s): Jamie John Worden Arbitrator(s): Leon Fox, Daniel Van Slett, Ricardo Martinez Hearing Site: Milwaukee, WI
| | $156,300 |
22-00708 | 10/12/2022 | Claimant(s): Travis Barnes Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Rochelle Mayfield Arbitrator(s): Richard S. Zaifert Hearing Site: Jacksonville, FL
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22-00182 | 10/11/2022 | Claimant(s): Matthew Lohr Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Christopher F. Robertson Arbitrator(s): Marilee Roberg Hearing Site: Chicago, IL
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22-00648 | 10/11/2022 | Claimant(s): David Loeb Claimant Lawyers(s): Harris Freedman Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Thomas J. Cahill Arbitrator(s): Howard D. Jacob Hearing Site: New York, NY
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