| 20-03407 | 02/02/2022 | Claimant(s): Joseph McCormick IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): USA Financial Securities Corporation
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Julian F. Santos, Linda J. Baer, Clifford Jacob Pritchard
Hearing Site: Wilmington, DE
|  | Expungement |
| 19-03839 | 02/02/2022 | Claimant(s): David Petterson, Lannie Devin, Larry Marple, Michael Shain, Richard Dawalt, Robert Lowman, Robert Reichle, Willard Grummert, Marilyn A. Martinson, Walter Walker Investment Co. Ltd.
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Carmine Berardi, Daniel Marsillo, Michael Leahy, Philip Sparacino
Respondent Lawyers(s): Carmine Anthony Berardi, Daniel Joseph Marsillo, Michael Leahy, Philip Joseph Sparacino
Arbitrator(s): Joseph C. Roberts, Steven Phillip Caplow, Christopher Keay
Hearing Site: Seattle, WA
| | $2,868,580 |
| 21-00127 | 02/02/2022 | Claimant(s): Benjamin Bassi
Claimant Lawyers(s): David B. Vermont
Respondent(s): William Bradley
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): John J. Mager
Hearing Site: Manchester, NH
| | $0 |
| 19-02513 | 02/01/2022 | Claimant(s): Ryan Bernardini
Claimant Lawyers(s): Lisa C. Solbakken
Respondent(s): GFI Securities LLC
Respondent Lawyers(s): Nirav S. Shah
Arbitrator(s): Anthony Michael Sabino, Mark Cuccaro, Abigail R. Levy
Hearing Site: New York, NY
| | |
| 20-03670 | 02/01/2022 | Claimant(s): Daniel Karlsberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | |
| 21-00286 | 02/01/2022 | Claimant(s): Ella Smith
Claimant Lawyers(s): Ella J. Smith
Respondent(s): John Hancock Distributors
Respondent Lawyers(s): Michael Mahoney
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
| | |
| 18-03460 | 02/01/2022 | Claimant(s): David Epstein, Ethan Epstein
Claimant Lawyers(s): Victor Bayata
Respondent(s): Signature Securities
Respondent Lawyers(s): Vincent P. Pozzuto
Arbitrator(s): Roy B. Gonas, Carl Henry Perdue, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 20-03424 | 02/01/2022 | Claimant(s): Kay Akins, Leon Akins
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Robert S. Sugarman, Elena P. Anastasiou, Lisa Sandlow Imber
Hearing Site: Chicago, IL
| | Expungement |
| 20-03416 | 02/01/2022 | Claimant(s): Melinda Whitman
Claimant Lawyers(s): William A. Haddad
Respondent(s): Morgan Stanley, Scott Swaylik
Respondent Lawyers(s): Jeremy Winer
Arbitrator(s):
Hearing Site: Boston, MA
| | $150,000 |
| 17-02495 | 01/31/2022 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Elizabeth H. Lindh
Respondent(s): Michael Margiotta
Respondent Lawyers(s): Steve Alan Buchwalter
Arbitrator(s): Paula K. Konikoff, George Herman Frisch, Jonathan Gartner
Hearing Site: Los Angeles, CA
| | |
