| 19-01625 | 02/25/2022 | Claimant(s): William P. Cella and Elaine F. Cella
Claimant Lawyers(s): Charles J. Hecht
Respondent(s): First Republic Investment Management Inc, First Republic Securities Company
Respondent Lawyers(s): Nicole Ryan
Arbitrator(s): Joan Maxine Secofsky, Judith C. Zerden, Madelon M. Rosenfeld
Hearing Site: New York, NY
|  | $0 |
| 21-02506 | 02/24/2022 | Claimant(s): Rei-Hou Wang
Claimant Lawyers(s): James P. Galvin
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Tina E. Patterson, Robert Paul Michaud, Angela C. Schulz
Hearing Site: Charlotte, NC
| | |
| 20-02010 | 02/24/2022 | Claimant(s): Marcy Hill, Estate of Judy McClellan
Claimant Lawyers(s): Kira Fonteneau
Respondent(s): Edward Jones, Robert Hickey, Timothy Dolan
Respondent Lawyers(s): Laura A. Pizzitola, Robert D. Hickey
Arbitrator(s): Victor L. Hayslip, Earle J. Schwarz, Marvin Kent Speigner
Hearing Site: Birmingham, AL
| | Expungement |
| 20-00069 | 02/24/2022 | Claimant(s): Alfred Woodard
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Bruce Guarino, Douglas Guarino, Jonothon Lieberman, Rockwell Global Capital LLC
Respondent Lawyers(s): Douglas Joseph Guarino, Jonothon Michael Lieberman, Robert M. Bursky
Arbitrator(s): Brandt Leonard Ross, Ernest Linwood Gunn, George Pinckney Shingler
Hearing Site: Atlanta, GA
| | $80,300 |
| 20-01561 | 02/24/2022 | Claimant(s): George Stelljes
Claimant Lawyers(s): Jason E. Tauches
Respondent(s): Christopher Lopez, Forrest Jones
Respondent Lawyers(s): Christopher Knight Lopez, Forrest Jones
Arbitrator(s): Henry R. Oppenheimer, Robert L. Chase, Robert E. Anderson
Hearing Site: Providence, RI
| | $200,000 |
| 21-00450 | 02/24/2022 | Claimant(s): Kevin Knight
Claimant Lawyers(s): Kevin Knight
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Daniel J. Pagnano, Allan R. Lazor, Kevin Colby
Hearing Site: Houston, TX
| | $0 |
| 20-01571 | 02/23/2022 | Claimant(s): Craig Breitsprecher, Breitsprecher and Associates LLC
Claimant Lawyers(s): Jonathan M. Shapiro
Respondent(s): Andrew Komarow, Komarow Financial Planning
Respondent Lawyers(s): Louis D. Tambaro
Arbitrator(s): Samuel H. Chorches, Cynthia Catherine Anger, Akwasi Agyeman
Hearing Site: Hartford, CT
| | |
| 21-01406 | 02/23/2022 | Claimant(s): Elinor Ho
Claimant Lawyers(s): Tad Burton
Respondent(s): Vestax Securities Corporation
Respondent Lawyers(s): Corporate Office
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
| | |
| 21-01501 | 02/23/2022 | Claimant(s): Mark Gelbman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): M W Gear
Hearing Site: Des Moines, IA
| | |
| 21-01907 | 02/23/2022 | Claimant(s): James Boyer
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Key Investment Services LLC
Respondent Lawyers(s): Andrew P. Karamouzis
Arbitrator(s): Stuart M. Schwartz
Hearing Site: Albany, NY
| | |
