| 20-01281 | 02/17/2022 | Claimant(s): William Fauzio
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Capital Financial Services., Questar Capital Corporation
Respondent Lawyers(s): Gordon Dihle, Katherine C. Donlon
Arbitrator(s): Mark Stuart Gurevitz
Hearing Site: Hartford, CT
| | |
| 20-03418 | 02/17/2022 | Claimant(s): Christopher Lee
Claimant Lawyers(s): Christopher Lee
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): David B. Dyer, Andrea U. Calve, Douglas Wade Carvell
Hearing Site: Dallas, TX
| | |
| 21-01069 | 02/16/2022 | Claimant(s): Warren Gonzales
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
|  | Dismissed by Rule 12206 |
| 21-01879 | 02/16/2022 | Claimant(s): Bennett Weiss IRA, Bennett Weiss SEP IRA, Denise Weiss IRA, Denise Weiss SEP IRA
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Andrew S. Azarmi
Arbitrator(s): Julian F. Santos, Barry Steven Port, Brian John Gallagher
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 21-00312 | 02/16/2022 | Claimant(s): Patrick Ridgeway
Claimant Lawyers(s): Lance McCardle
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Carl S. Burkhalter
Arbitrator(s): Stuart K. Furman, Alan E. Linden, John G. Sciandra
Hearing Site: Jackson, MS
| | $1,100,000 |
| 20-01899 | 02/15/2022 | Claimant(s): Kristi Trowbridge, Stephen Trowbridge
Claimant Lawyers(s): Ross E Webster
Respondent(s): Kestra Investment Services, Llc
Respondent Lawyers(s): Lydia R. Zaidman
Arbitrator(s): Bill Lamoreaux, Victor L. Hayslip, Charles Lange Clark
Hearing Site: Birmingham, AL
| | |
| 21-01233 | 02/15/2022 | Claimant(s): Robert Clevenger Jr.
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): G. Maynard Green
Hearing Site: Houston, TX
| | |
| 21-00506 | 02/15/2022 | Claimant(s): David Anderson
Claimant Lawyers(s): David Anderson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Roger C. Benson, James A. McIntosh, Robert Lane Arrington
Hearing Site: Nashville, TN
| | Dismissed by Rule 12504 |
| 18-03495 | 02/15/2022 | Claimant(s): Diane Sagrillo, Robert Sagrillo
Claimant Lawyers(s): Jason J. Kane
Respondent(s): David Turner, John Vansant, Cascade Financial Management.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Richard J. Lawrence, Baldwin Ranson, Eileen Joan Carpenter
Hearing Site: Denver, CO
| | Expungement |
| 20-01084 | 02/15/2022 | Claimant(s): Antonia Hieronymus, Daniel Hassett, David Freshwater, Joseph Reilly, Steven Rothstein, Vijay Ande
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Joseph Alagna, Stephan Stein, Joseph Gunnar & Co.
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Roy B. Gonas, Michael J. Quarequio, Joseph Benalt
Hearing Site: Boca Raton, FL
| | $512,731 |
