| 21-01119 | 06/23/2022 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Charlton Young
Respondent(s): Lowell Friend
Respondent Lawyers(s): Lowell Dale Friend
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Memphis, TN
| | |
| 21-02721 | 06/23/2022 | Claimant(s): Craig Johnson
Claimant Lawyers(s): Zachary Morse
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): McClellon D. Cox
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
| | |
| 21-03093 | 06/23/2022 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jeanette E. Dennis
Respondent(s): Leo Vassallo
Respondent Lawyers(s): Joshua A. Katz
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Syracuse, NY
| | |
| 21-01577 | 06/23/2022 | Claimant(s): Marko Gnann
Claimant Lawyers(s): Robert Volynsky
Respondent(s): Donovan Mannato, Morgan Stanley, Wells Fargo Clearing Services
Respondent Lawyers(s): Abigail Elrod, Andrew W. Sidman, Kevin D. Galbraith
Arbitrator(s): Sandra J. Mullings, Marion F. Posner, Vaughn Norman Browne
Hearing Site: New York, NY
|  | Dismissed by Rule 12206 |
| 22-00304 | 06/23/2022 | Claimant(s): Gregory Kruse
Claimant Lawyers(s): Gregory Kruse
Respondent(s): Paul Price
Respondent Lawyers(s): Bruce W. Barnes
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 20-00205 | 06/23/2022 | Claimant(s): John Williams, Sorine Williams
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Kevin McNeil
Respondent Lawyers(s): Kevin M McNeil
Arbitrator(s): John B. Sochacki, Thomas Fred Meyer, Danielle Dudai
Hearing Site: Boca Raton, FL
| | $15,000 |
| 20-02414 | 06/23/2022 | Claimant(s): Kenneth L. Covell
Claimant Lawyers(s): Kenneth L. Covell
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Monica I. Salis
Hearing Site: Boca Raton, FL
| | $79,550 |
| 21-02776 | 06/22/2022 | Claimant(s): Ting O'Connor
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 21-02941 | 06/22/2022 | Claimant(s): Russell Smith
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Elevation
Respondent Lawyers(s): James Garvey
Arbitrator(s): Cynthia A. DiMarco, Martin Deignan Dehler, Rae Tina Eskreis-Nelson
Hearing Site: New York, NY
| | |
| 21-00548 | 06/22/2022 | Claimant(s): Estate of Inayat S. Fleischaker
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Jonathan B. Gilbert, Odalo Joseph Ohiku, Denise Renee Poindexter
Hearing Site: Chicago, IL
| | Expungement |
