| 21-02790 | 08/31/2022 | Claimant(s): Anthony DeMaio
Claimant Lawyers(s): Richard S. Meisner
Respondent(s): RBC Capital Markets LLC, The Jeffrey Matthews Fin. Group, L.L.C.
Respondent Lawyers(s): Ginny Colarusso, Steven M. Malina
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
| | |
| 21-02801 | 08/31/2022 | Claimant(s): Trevor Siani
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Comerica Securities
Respondent Lawyers(s): John P. Kincade
Arbitrator(s): Robert E. Jenks
Hearing Site: San Diego, CA
| | |
| 22-00244 | 08/31/2022 | Claimant(s): Anthony Thurlow
Claimant Lawyers(s): Zachary Morse
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Randy R. Maher
Hearing Site: Las Vegas, NV
| | |
| 21-00305 | 08/31/2022 | Claimant(s): Gene Lindenboom, Mary Lindenboom
Claimant Lawyers(s): Lars Soreide
Respondent(s): Justin Dolan, Cetera Advisors LLC
Respondent Lawyers(s): Elaine Rice
Arbitrator(s): Brian Michael Kane, Philip William Vineyard, Donald Gene Tanner
Hearing Site: Jacksonville, FL
|  | Expungement |
| 22-00839 | 08/31/2022 | Claimant(s): Stewart Graddick
Claimant Lawyers(s): Stewart T. Graddick
Respondent(s): Prudential Investment Mgmt Services LLC
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Sam Antar
Hearing Site: Jersey City, NJ
| | $0 |
| 20-04110 | 08/31/2022 | Claimant(s): Anne Behm, Joseph Behm, Anne Behm on behalf of her IRA, Anne Behm on behalf of her TOD account, Joseph Behm on behalf of his IRA, Joseph Behm on behalf of his TOD account
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Cambridge Investment Research., Neal Thompson, Harbour Investments.
Respondent Lawyers(s): David A. Genelly, Lindsay Wuller Aggarwal, Mark L. Kowalsky
Arbitrator(s): Milton N. Gross, Ruth M. Moore, John F Mencer
Hearing Site: Denver, CO
| | Expungement |
| 21-01101 | 08/31/2022 | Claimant(s): Harvey Segal
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Worden Capital Management LLC, Gregory Bodkin, Jamie Worden
Respondent Lawyers(s): Charles M. O'Rourke, Jamie Worden
Arbitrator(s): Louis H Miron
Hearing Site: Jersey City, NJ
| | $22,000 |
| 22-00208 | 08/30/2022 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Kristina J. Branstetter
Respondent(s): Jacob Turner
Respondent Lawyers(s): Jacob Troy Turner
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Richmond, VA
| | |
| 22-00228 | 08/30/2022 | Claimant(s): Timothy Flatley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Kristina J. Branstetter
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
| | |
| 16-02946 | 08/29/2022 | Claimant(s): David Krunch Kloberdanz
Claimant Lawyers(s): Steven Gomberg
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Stephen M. Kramarsky
Arbitrator(s): James R. McGuone, James C. Hoover, Jeffrey Prather Adams
Hearing Site: Atlanta, GA
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