| 21-02392 | 03/14/2022 | Claimant(s): Bizhan Sheikholeslami
Claimant Lawyers(s): Bizhan Zia Sheikholeslami
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Terry F Peppard
Hearing Site: Milwaukee, WI
|  | $163 |
| 21-01257 | 03/11/2022 | Claimant(s): Michael Bolen
Claimant Lawyers(s): James P. Galvin
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Charlton Young
Arbitrator(s): Douglas Earl McLaren, Patricia H. Latham, Thomas David Hudak
Hearing Site: Washington, DC
| | |
| 21-01920 | 03/11/2022 | Claimant(s): Alicia Hinojosa Gutierrez
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Judith C. Zerden, Phillip Weitzman, Serge Krimnus
Hearing Site: New York, NY
| | |
| 21-02451 | 03/11/2022 | Claimant(s): Dimitrina Atanasova
Claimant Lawyers(s): Megan Christensen
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Samuel S. Shaulson
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
| | |
| 18-01349 | 03/11/2022 | Claimant(s): Ivan Mailhot, Nancy Mailhot, Ivan Mailhot IRA, Nancy Mailhot IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Harold J. Merkow, Edwin J. Buckley, Ronald Dean Mayes
Hearing Site: Phoenix, AZ
| | $2,662,420 |
| 20-00106 | 03/11/2022 | Claimant(s): Allan T. Schmaltz IRA
Claimant Lawyers(s): John E. Sutherland
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John D. Stewart
Arbitrator(s): Andrea J. Goldman
Hearing Site: Boston, MA
| | $0 |
| 20-03243 | 03/10/2022 | Claimant(s): Shaun Hayes
Claimant Lawyers(s): William M. Dailey
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 21-01911 | 03/10/2022 | Claimant(s): Joseph Weinbauer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Shelley R. Davenport
Arbitrator(s): Gregory G. Gocek
Hearing Site: St. Louis, MO
| | |
| 20-00862 | 03/10/2022 | Claimant(s): Joan Highsmith, Lutricia Ward, Estate of Thomas Ward
Claimant Lawyers(s): Alex S Aughtry
Respondent(s): Anthony Mesquit, Eric McSwain, Jennifer Dehart, Fidelity Brokerage Services LLC, Nassim Elias, Fidelity Personal and Workplace Advisors
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Barbara L. Edin, Keith E. Robinson, Arlene Denise Knighten
Hearing Site: New Orleans, LA
| | Expungement |
| 21-01092 | 03/09/2022 | Claimant(s): Randall Krenzin
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services, Banc of America Investment Services Inc.
Respondent Lawyers(s): Geoffrey S. Beckham, Laura A. Pizzitola
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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