| 21-02073 | 08/18/2022 | Claimant(s): Dennis Pickett
Claimant Lawyers(s): Dennis W. Pickett
Respondent(s): TD Ameritrade., Citadel Securities LLC
Respondent Lawyers(s): Kevin H. Lewis, Mark L. Parmelee
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Louisville, KY
|  | $0 |
| 21-00002 | 08/18/2022 | Claimant(s): Michael Gutt
Claimant Lawyers(s): John M. O'Toole
Respondent(s): Ameriprise Financial Services., Steven Sterchele
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Ray J. Grzebielski, Howard T. Goffen, Lisa M. Krimen
Hearing Site: Chicago, IL
| | Expungement |
| 20-03079 | 08/17/2022 | Claimant(s): Andrew Hughes
Claimant Lawyers(s): Sean M. Sweeney
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Lindsay Wuller Aggarwal
Arbitrator(s): Susanne J. Hollander, Charles Kahn, Jennifer Bruzas
Hearing Site: Milwaukee, WI
| | |
| 22-00054 | 08/17/2022 | Claimant(s): Robert Rotunno
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Seth T. Taube, Evdokia Sofos, Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 21-01249 | 08/17/2022 | Claimant(s): Rex Nassour IRA
Claimant Lawyers(s): Michael S. Hill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Reno, NV
| | Expungement |
| 22-00552 | 08/17/2022 | Claimant(s): Seth Mason
Claimant Lawyers(s): Seth Mason
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Maurice M. Feller
Hearing Site: Columbia, SC
| | settlement |
| 19-03331 | 08/16/2022 | Claimant(s): Josh Oliver
Claimant Lawyers(s): David Dobin
Respondent(s): Key Investment Services LLC
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Diane Ciccone, Marissa A. Santangelo, Paul Smith Besson
Hearing Site: Hartford, CT
| | |
| 22-00063 | 08/16/2022 | Claimant(s): Steven Laporta
Claimant Lawyers(s): Brian Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Lawrence W. Arness
Hearing Site: Chicago, IL
| | |
| 22-00910 | 08/16/2022 | Claimant(s): IFS Liquidation Trust
Claimant Lawyers(s): Richard E. Brodsky
Respondent(s): Keith Wakefield
Respondent Lawyers(s): Keith Wakefield
Arbitrator(s): James F. Carlson
Hearing Site: Chicago, IL
| | |
| 21-02401 | 08/16/2022 | Claimant(s): Jimmy Woollen, Stephanie Woollen
Claimant Lawyers(s): Amy L.B. Hill
Respondent(s): Andrew Hall, Cindy Chiellini, Ricky Mantei, Centaurus Financial., J.P. Turner & Company
Respondent Lawyers(s): James C. Cosby, Jonathan Cole, Steven E. Mellen
Arbitrator(s): Mimi B. Osiason, Christopher Cecil Lamb, John G. Shamp
Hearing Site: Columbia, SC
| | Expungement |
