| 21-02503 | 07/07/2022 | Claimant(s): Timothy Carlin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): David A. Schuler
Hearing Site: Kansas City, MO
| | |
| 22-00432 | 07/07/2022 | Claimant(s): Jonathan Foster
Claimant Lawyers(s): Jonathan Frederick Foster
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Stacey N. Schmidt
Arbitrator(s): Douglas Wade Carvell
Hearing Site: Dallas, TX
| | |
| 19-00199 | 07/07/2022 | Claimant(s): Pearl Michaels
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Henley & Company LLC, Henley & Company Wealth Management LLC
Respondent Lawyers(s): Thomas M. Campbell
Arbitrator(s): Vincent C. Pangia, Edward F. Zagajeski, Gary Stuart Alpert
Hearing Site: New York, NY
|  | $0 |
| 18-04158 | 07/07/2022 | Claimant(s): Estate of Bernard Rex
Claimant Lawyers(s): Wiliam P. Rubley
Respondent(s): Thomas McDevitt
Respondent Lawyers(s): Thomas Anthony McDevitt
Arbitrator(s): Gordon M. Wase, Allen M. Kerpan, George Aleman
Hearing Site: Philadelphia, PA
| | $100,000 |
| 21-01682 | 07/06/2022 | Claimant(s): Blair Zimmerman, Blair Zimmerman OBO of his IRA
Claimant Lawyers(s): Blair Zimmerman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | Expungement |
| 22-00127 | 07/06/2022 | Claimant(s): Dilusso Properties Corp.
Claimant Lawyers(s): Eric Quetglas-Jordan
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Maria Elena Martinez
Arbitrator(s): Marie G. Peterson, Carl F. Bowmer, Nancy Wiegers Greenwald
Hearing Site: San Juan, PR
| | Dismissed by Rule 12206 |
| 21-00011 | 07/06/2022 | Claimant(s): Mark Levy
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): NTB Financial Corporation
Respondent Lawyers(s): Frank W. Visciano
Arbitrator(s): Edward W. Morris, Melanie Barr-Brooks, Robert J. Kirkner
Hearing Site: Wilmington, DE
| | $0 |
| 21-02815 | 07/06/2022 | Claimant(s): Monique Sessler
Claimant Lawyers(s): Meghan McElligott
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Richmond, VA
| | Expungement |
| 21-00441 | 07/05/2022 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Issa Dababneh
Respondent Lawyers(s): Issa J. Dababneh
Arbitrator(s): Lisa M. Krimen
Hearing Site: Chicago, IL
| | $0 |
| 20-03988 | 07/05/2022 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Elio F. Martinez
Respondent(s): David Sauer
Respondent Lawyers(s): Victor Bayata
Arbitrator(s): Steven Gerard Goerke, Gloria F. Katz, Dorrit E Nelson
Hearing Site: Boca Raton, FL
| | |
