| 21-01243 | 03/31/2022 | Claimant(s): Jaime Guevara
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Nicole M. Zito
Arbitrator(s): Tina E. Patterson
Hearing Site: Charlotte, NC
| | |
| 21-01747 | 03/31/2022 | Claimant(s): Michael Ross
Claimant Lawyers(s): Ariel Okonsky
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Suzette J. Barnes
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
| | |
| 20-00954 | 03/31/2022 | Claimant(s): Janet M. Wittmer, Ronald E. Wittmer
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Bruce Guarino, Daniel Murray, Douglas Guarino, Jeff Snyder, Rockwell Global Capital LLC
Respondent Lawyers(s): Daniel Robert Murray, Douglas Joseph Guarino, Jeff David Snyder, Robert M. Bursky
Arbitrator(s): Steven H. Vogel, Jacqueline Stanley Lustig, Stuart W. Smith
Hearing Site: Chicago, IL
|  | $0 |
| 19-03788 | 03/31/2022 | Claimant(s): De Mille RT DTD 1/26/93, De Mille TTEE
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Guy Harrigan, James Teegarden, Lion Street Financial, Triad Advisors LLC
Respondent Lawyers(s): James A. McGovern, Kathy M. Klock
Arbitrator(s): Nicole T. LeBoeuf, Phyllis Sandra Hill, Don G Miller
Hearing Site: Dallas, TX
| | Expungement |
| 21-01644 | 03/30/2022 | Claimant(s): Jason Kurchner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prime Capital Services.
Respondent Lawyers(s): Emily Hayes
Arbitrator(s): Ted M. Rosen
Hearing Site: Albany, NY
| | |
| 21-02656 | 03/30/2022 | Claimant(s): Michael Braun IRA
Claimant Lawyers(s): Michael Braun
Respondent(s): Rydex Distributors.
Respondent Lawyers(s): Christopher Antonow
Arbitrator(s): Sharon R. Merriman, Barry Goldman, Michael Charles Peek
Hearing Site: Indianapolis, IN
| | Dismissed by Rule 12504 |
| 20-04210 | 03/30/2022 | Claimant(s): Nathan Edwards
Claimant Lawyers(s): Nathan Edwards
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Mitchel Weiss, Brian Michael Kane, Mary Ann Etzler
Hearing Site: Jacksonville, FL
| | $0 |
| 21-02755 | 03/30/2022 | Claimant(s): Hope DeBorse
Claimant Lawyers(s): Hope DeBorse
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Shea O. Hicks
Arbitrator(s): Thomas E Shuck
Hearing Site: Los Angeles, CA
| | $0 |
| 20-03070 | 03/29/2022 | Claimant(s): Patrick Esparrago
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Nicola A. Murphy
Arbitrator(s): Cheryl H. Agris
Hearing Site: New York, NY
| | |
| 20-03179 | 03/29/2022 | Claimant(s): James Womack
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Robert T. Allen, Robert Neal Hunter, Harvey R. Linder
Hearing Site: Charlotte, NC
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