| 21-01697 | 10/11/2022 | Claimant(s): O'Toole, McLaughlin, Dooley & Pecora, OMDP, Co. LPA Cash Balance Plan
Claimant Lawyers(s): Jeffrey D. Zimon
Respondent(s): Brian Kahl, Mid Atlantic Financial Management., The Kahl Group
Respondent Lawyers(s): Brian P. Nally
Arbitrator(s): Gregory P. Szuter, Marques P.D. Richeson, Aleksandar Sava Rakic
Hearing Site: Cleveland, OH
|  | Expungement |
| 22-01139 | 10/10/2022 | Claimant(s): Peter Bermont
Claimant Lawyers(s): Kimberly A. Koves
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Mark C. Perry, Steven M. Greenbaum, David P. Slater
Hearing Site: Boca Raton, FL
| | |
| 21-02784 | 10/07/2022 | Claimant(s): Fred Horrocks
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MMLInvestors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Thomas E Kopil
Hearing Site: Philadelphia, PA
| | |
| 22-00003 | 10/07/2022 | Claimant(s): Stuart Updegrove
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Sands Brothers & Co., Ltd.
Respondent Lawyers(s): Gail Fanelli
Arbitrator(s): Peter A. Goldman
Hearing Site: New York, NY
| | |
| 19-02385 | 10/07/2022 | Claimant(s): Jonathan Peters
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): Chad Allen, Oppenheimer & Co.., Matthew Platnico, Petar Arizanov
Respondent Lawyers(s): Brian J. Neville, John T. McGuire, Joseph E. Gasperetti
Arbitrator(s): Thomas E. Duggan, Eugene G. P. Byrne, Tip Henderson
Hearing Site: New York, NY
| | Expungement |
| 20-02547 | 10/07/2022 | Claimant(s): Scott Reynolds, SRR Fortress Capital
Claimant Lawyers(s): Adam Ford
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Carl Henry Perdue, Nanci Sondra Landy, Arlene Simon Backman
Hearing Site: Boca Raton, FL
| | $0 |
| 22-01074 | 10/07/2022 | Claimant(s): Gregory Violette
Claimant Lawyers(s): Gregory Paul Violette
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Jonathan J. Brennan
Arbitrator(s): Denise L. Presley
Hearing Site: Augusta, ME
| | $0 |
| 22-01100 | 10/07/2022 | Claimant(s): Lester Tarver
Claimant Lawyers(s): Lester Tarver
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Jennifer A. Stevens
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
| | $0 |
| 22-00171 | 10/06/2022 | Claimant(s): Stuart Updegrove
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation, Eastbrook Capital Group LLC
Respondent Lawyers(s): Edward Sampson, Emily A. Hayes
Arbitrator(s): Richard W. Cutler, John Franklin Udochi, Adam J. Ciffone
Hearing Site: New York, NY
| | |
| 22-00456 | 10/06/2022 | Claimant(s): Eric Hogarth
Claimant Lawyers(s): Steven Feldman
Respondent(s): Silver Oak Securitiesorporated
Respondent Lawyers(s): Doug Baxley
Arbitrator(s): David Adams Reif
Hearing Site: Hartford, CT
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