| 21-01922 | 04/18/2022 | Claimant(s): Dennis Thurman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Donald N. Tolin
Hearing Site: Omaha, NE
| | |
| 21-03023 | 04/18/2022 | Claimant(s): Mark Kravietz
Claimant Lawyers(s): David I. Hantman
Respondent(s): Hightower Securities
Respondent Lawyers(s): Paul H.R. Wascher
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
| | |
| 20-03090 | 04/18/2022 | Claimant(s): Edmund Ippolito
Claimant Lawyers(s): Edmund Ippolito
Respondent(s): Edward Jones
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Mary P. Bass, Joseph H. Einstein, Michael David Blechman
Hearing Site: New York, NY
|  | Expungement |
| 20-02735 | 04/15/2022 | Claimant(s): Steven McGarrity
Claimant Lawyers(s): Alan E. Cech
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffrey Sturgeon
Arbitrator(s): Jim Geiger, Linda Arlene Michler, Frank C. Botta
Hearing Site: Pittsburgh, PA
| | |
| 21-03071 | 04/15/2022 | Claimant(s): Gabriel Matos
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
| | |
| 21-01598 | 04/14/2022 | Claimant(s): Christian Bauman, Patrick Mendenhall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): USCA RIA LLC, USCA Securities LLC
Respondent Lawyers(s): Therese L. Suprenant
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | |
| 21-02092 | 04/14/2022 | Claimant(s): Anthony Salerno
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Arthur Neil Tolciss
Hearing Site: New York, NY
| | |
| 21-02134 | 04/14/2022 | Claimant(s): Timothy Lyons
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): JPMSI
Respondent Lawyers(s): Corporate Office
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 21-02200 | 04/14/2022 | Claimant(s): Keys Tinney
Claimant Lawyers(s): Harris Freedman
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
| | |
| 18-03985 | 04/14/2022 | Claimant(s): Johana Gerheim, Richard Bucci, Richard Bucci as Cust for Caroline Bucci, Richard Bucci as Cust for Johana A Bucci, Richard Bucci Ameriprise One Financial, Richard Bucci Cash Reserve Certificate, Richard Bucci IRA Strategic Portfolio, Richard Bucci RiverSource Flex Portfolio, Richard Bucci Rollover IRA RiverSource, Richard Bucci Roth Conv IRA 0002461455, Richard Bucci Roth Conv IRA Ameriprise, Richard Bucci Roth Conv IRA RiverSource, Richard Bucci Roth Conv IRA Strategic, Richard Bucci SEP IRA 0002461454 Ameripr, Richard Bucci SEP IRA 0002461454 Strateg, Richard Bucci SEP IRA Ameriprise Brokera, Richard Bucci SEP IRA StrategicPortfolio, Richard Bucci SPS Advantage With One, Richard Bucci MD Living Trust Ameriprise, Richard Bucci MD Living Trust SPS Advant
Claimant Lawyers(s): Charles M Thompson
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Karen Roberts Washington, Orville Barrington Wright, Glenn Ivan Mazer
Hearing Site: Birmingham, AL
| | Expungement |
