| 22-00114 | 09/23/2022 | Claimant(s): Gregory Crance
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Oneamerica Securities., Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Mollie Wagner Neal
Hearing Site: Birmingham, AL
| | |
| 21-01230 | 09/23/2022 | Claimant(s): Kathy Starks, Maxie Starks
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Mary Elizabeth Skelnik
Hearing Site: Little Rock, AR
|  | Expungement |
| 21-02061 | 09/22/2022 | Claimant(s): Sandra Edwards
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
| | |
| 21-02367 | 09/22/2022 | Claimant(s): Kestra Financial., Kestra Investment Services
Claimant Lawyers(s): Richard D'Amura
Respondent(s): Allen Hegener
Respondent Lawyers(s): Allen John Hegener
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
| | |
| 22-00023 | 09/22/2022 | Claimant(s): Trawnegan Gall
Claimant Lawyers(s): Zachary Morse
Respondent(s): Sandlapper Securities
Respondent Lawyers(s): Trevor Gordon
Arbitrator(s): Nicholas J. Caputo, Benjamin F. Breslauer, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
| | |
| 21-02838 | 09/22/2022 | Claimant(s): Fabrice Dejean
Claimant Lawyers(s): Fabrice Dejean
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Anthony D. DeToro, Joseph C. Watson, Bruce Leslie Ishimatsu
Hearing Site: Los Angeles, CA
| | $0 |
| 20-01721 | 09/22/2022 | Claimant(s): John Ewine
Claimant Lawyers(s): David W. Porteous
Respondent(s): John Orlando, Richard Rappaport, Newport Coast Securities., Westpark Capital.
Respondent Lawyers(s): Kevin Lee, Nancy L. Hendrickson, Todd A. Zuckerbrod
Arbitrator(s): Martin D. Munic, Thomas J. Gmeinder, Steven M. Bialick
Hearing Site: Minneapolis, MN
| | Expungement |
| 20-03674 | 09/22/2022 | Claimant(s): Richard Dawalt
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Joseph Stone Capital L.L.C.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Rafael A. Porrata-Doria, Fred W. Miller, Stephen J. Scherf
Hearing Site: Philadelphia, PA
| | $75,000 |
| 21-02187 | 09/21/2022 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Thomas K. Potter
Respondent(s): Jeffery Bickel
Respondent Lawyers(s): William Carlisle
Arbitrator(s): Michael J. Ahlstrom, J.G. Long, Sylloris Lampkin
Hearing Site: Atlanta, GA
| | |
| 21-02469 | 09/21/2022 | Claimant(s): Guy Deemer
Claimant Lawyers(s): Brian Luther
Respondent(s): Oppenheimer & Co.., Stifel, Nicolaus & Co..
Respondent Lawyers(s): John T. McGuire, Lauren Beekman
Arbitrator(s): Richard W. Dissen, John J. Neely, David Michael Stabile
Hearing Site: Pittsburgh, PA
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