| 20-02051 | 04/12/2022 | Claimant(s): Robert Haas
Claimant Lawyers(s): Michael A. Nagy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Judith P. Meyer, Laura A. Kaster, George Swindasz
Hearing Site: Philadelphia, PA
| | |
| 21-01649 | 04/12/2022 | Claimant(s): John Reagan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 21-02483 | 04/12/2022 | Claimant(s): George Milani
Claimant Lawyers(s): Frank J. Cuccio
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah Sorkin
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 21-01966 | 04/12/2022 | Claimant(s): Tawauna Garel
Claimant Lawyers(s): Tawauna Garel
Respondent(s): Aspiration Financial LLC
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
|  | $0 |
| 21-03049 | 04/11/2022 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Gretchen Mary Wallace
Respondent Lawyers(s): Gretchen Mary Thies Wallace
Arbitrator(s): Jim Geiger
Hearing Site: Providence, RI
| | |
| 21-00303 | 04/11/2022 | Claimant(s): Greg Zinser, on behalf of his IRA
Claimant Lawyers(s): Samuel Benton Edwards
Respondent(s): LPL Financial LLC, Rodd Miller
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Robert E. Jenks
Hearing Site: San Diego, CA
| | Expungement |
| 20-03938 | 04/11/2022 | Claimant(s): Theresa Panza
Claimant Lawyers(s): Theresa Panza
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): David S. Billet, Lourdes Gomez, Daniel Engelstein
Hearing Site: New York, NY
| | $0 |
| 21-01181 | 04/11/2022 | Claimant(s): Chad Durrance, Leslie Durrance
Claimant Lawyers(s): Daniel P. Dietrich
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Andrew J. Melnick
Arbitrator(s): James R. Augustine, Jacquelyn M. Shannon, Philip L. Manczak
Hearing Site: Tampa, FL
| | $214,640 |
| 19-01585 | 04/08/2022 | Claimant(s): Nicolas Lumermann
Claimant Lawyers(s): Lance J. Gotko
Respondent(s): Morgan Stanley, Victor Tsutsumi, Morgan Stanley Smith Barney Financing
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Alan Wills Borst, Harvey E. Benjamin, John Warner Lowe
Hearing Site: New York, NY
| | |
| 20-02375 | 04/08/2022 | Claimant(s): Scott Brady
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Elwood C. Avery, James H. Fehlberg, Philip Alan Johnson
Hearing Site: Portland, OR
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