| 21-01841 | 03/25/2022 | Claimant(s): Jason Stephens
Claimant Lawyers(s): Harris Freedman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Barry David Thorpe
Hearing Site: Boca Raton, FL
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| 21-01938 | 03/25/2022 | Claimant(s): Shawn Weidmann
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Trevor Brown
Arbitrator(s): Mark Lee Haggard
Hearing Site: Portland, OR
| | |
| 21-01990 | 03/25/2022 | Claimant(s): Glen Anderson
Claimant Lawyers(s): Zachary Morse
Respondent(s): Rainmaker Securities
Respondent Lawyers(s): Dominic Cioffi
Arbitrator(s): Louis David Huss
Hearing Site: Boca Raton, FL
| | |
| 21-02082 | 03/25/2022 | Claimant(s): Manfred Kanther
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
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| 21-02138 | 03/25/2022 | Claimant(s): Ian Castille
Claimant Lawyers(s): Ariel Okonsky
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Bryce Cullinane
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
| | |
| 21-02728 | 03/25/2022 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B Clarke
Respondent(s): Charles Jenkins
Respondent Lawyers(s): Charles M Jenkins
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Pittsburgh, PA
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| 20-02005 | 03/25/2022 | Claimant(s): Ronald Hennig
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Judah Piano, Scott Martin, MML Investors Services
Respondent Lawyers(s): Alexandra Hutchinson, Julie E. Ravis
Arbitrator(s): Katherine Hendricks, John Howard Resing, Stephen William Simpson
Hearing Site: Seattle, WA
|  | Expungement |
| 20-03921 | 03/25/2022 | Claimant(s): Nicholas Packer, Hove Investments Holding Limited
Claimant Lawyers(s): Brendan J. O'Rourke
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Eugene G. P. Byrne, Nicholas M. Herubin, Samuel Philip Gunther
Hearing Site: New York, NY
| | Expungement |
| 21-00632 | 03/24/2022 | Claimant(s): Andrew Pravlik
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prospera Financial Services.
Respondent Lawyers(s): William M. Schmitt
Arbitrator(s): Mark A. Sipper
Hearing Site: Pittsburgh, PA
| | |
| 21-01919 | 03/24/2022 | Claimant(s): Timothy Hilton
Claimant Lawyers(s): Coren H. Stern
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Edmund Timothy Donovan
Hearing Site: New York, NY
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