| 21-00918 | 03/22/2022 | Claimant(s): Jalaleddin Afifi
Claimant Lawyers(s): Robert Gonser
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Scott T. Nonaka
Arbitrator(s): Dean J. Dietrich, Julianne Averill, Andrew Kennon Jennings
Hearing Site: San Francisco, CA
| | |
| 21-02043 | 03/22/2022 | Claimant(s): David Amann
Claimant Lawyers(s): Brian Luther
Respondent(s): Edward Jones
Respondent Lawyers(s): Bentley P. Stansbury
Arbitrator(s): Alden Sharp Adkins
Hearing Site: San Francisco, CA
| | |
| 21-02572 | 03/22/2022 | Claimant(s): Gabriel Matos
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
| | |
| 20-03896 | 03/22/2022 | Claimant(s): Richard Dunstan, Perma-Chink Systems., Richard Dunstan Contributory IRA, Richard Dunstan Roth Conversion IRA
Claimant Lawyers(s): Mark C. Santi
Respondent(s): Charles Schwab & Co.., Interactive Brokers LLC
Respondent Lawyers(s): Christopher A. Stecher, David Luger
Arbitrator(s): Katherine Hendricks, Jonathan Sprouffske, Martin Kehoe
Hearing Site: Seattle, WA
|  | $0 |
| 21-01670 | 03/21/2022 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Scott Williams
Respondent Lawyers(s): Scott Douglas Williams
Arbitrator(s): Theodore Haynes, Michael Edward Collins, Nancy King Crawford
Hearing Site: Nashville, TN
| | |
| 21-01889 | 03/21/2022 | Claimant(s): Christopher Bond
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Ira A. Auerbach
Hearing Site: New York, NY
| | |
| 21-02047 | 03/21/2022 | Claimant(s): Gurveer Mann
Claimant Lawyers(s): Zachary Morse
Respondent(s): Signator Investors.
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Detroit, MI
| | |
| 19-03404 | 03/21/2022 | Claimant(s): Frank B Hannah Sr.
Claimant Lawyers(s): Luke Rommel
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Truitt
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Daniel J. Donovan, Richard E. Lauziere, Tina E. Patterson
Hearing Site: Baltimore, MD
| | Expungement |
| 20-03364 | 03/21/2022 | Claimant(s): Vanessa Jones
Claimant Lawyers(s): Vanessa Jones
Respondent(s): J.P. Morgan Securities, Maurice Lounds, Paul Fiacable
Respondent Lawyers(s): Daniel Rucker, Shipra K. Rege
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | $0 |
| 20-03374 | 03/21/2022 | Claimant(s): Alicia Friedrichs, Andrew Knopfel, Barbara Stephens, Brian Bazata, Carolyn Lura, Carson Stephens, Connor Emshousen, Curtis Stanfill, Daniel Orms, David Friedrichs, Dawn Emshousen, Douglas Brown, Douglas Egbert, Douglas Havelka, Eddie Case, Eileen Hubert, Elliott Higginbotham, Gerry Stephens, Heidi Bazata, Hunter Stephens, Jana Reilly, Jeff Finley, Jerry Stephens, John Carter, John Hubert, Kay Thornton, Kerri Bridges, Kurtis Emshousen, Larry Guthrie, Lee Friedman, Leslie Stephens, Malinda Roberson, Mary Corsair, Michael Dorman, Nelson Rabdall, Robert Bridges, Roger Dowdy, Ronald Carter, Stephanie Orms, Steven Friedman, Terry Ferguson, Thomas Marks, Timothy Dorman, Varda Case, Virginia Schumacher, William Reilly, William Ridings, Jerry William Stephens Trust, Ronald N. Carter Revocable Trust, Steven A Friedman Revocable Trust
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Leah Murray Albert, James M. Stern, David E. Crawford
Hearing Site: St. Louis, MO
| | $0 |
