| 21-01097 | 01/31/2022 | Claimant(s): Kurt Van Dyken, Ronald Bullis
Claimant Lawyers(s): Harris Freedman
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | |
| 21-02059 | 01/31/2022 | Claimant(s): Michael Hatch
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 21-00429 | 01/31/2022 | Claimant(s): Lisbeth Brod
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Paul J. Burkhart, Stephanie Jeannette Charny, Victor Bernard Gent
Hearing Site: Boca Raton, FL
|  | Expungement |
| 21-00080 | 01/31/2022 | Claimant(s): John Boucher
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): David Weisberg, Worden Capital Management LLC, Gregory Bodkin, Jamie Worden
Respondent Lawyers(s): Charles M. O'Rourke, David Weisberg, Jamie Worden
Arbitrator(s): Steven S. Manos
Hearing Site: Boston, MA
| | $0 |
| 21-00929 | 01/31/2022 | Claimant(s): Thelma Ellenberger
Claimant Lawyers(s): Thelma P. Ellenberger
Respondent(s): Edward Jones, Kelly Shultz
Respondent Lawyers(s): Cheryl S. Chang
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | $0 |
| 20-02440 | 01/28/2022 | Claimant(s): Kenneth Williams
Claimant Lawyers(s): Kenneth L. Williams
Respondent(s): Spartan Capital Securities
Respondent Lawyers(s): Kim Monchik
Arbitrator(s): Cynthia A. DiMarco
Hearing Site: New York, NY
| | |
| 21-01500 | 01/28/2022 | Claimant(s): James Charbonneau
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): The Investment Center.
Respondent Lawyers(s): Douglas A. Wright
Arbitrator(s): John P. Cullem
Hearing Site: Columbia, SC
| | |
| 21-01685 | 01/28/2022 | Claimant(s): Paul Barr
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Robert J. Scafuri
Hearing Site: Des Moines, IA
| | |
| 21-01192 | 01/28/2022 | Claimant(s): Reinhold Kunze
Claimant Lawyers(s): Thomas S. Reavely
Respondent(s): Myles Easter
Respondent Lawyers(s): Mark W. Thomas
Arbitrator(s): Leo G. Stern
Hearing Site: Des Moines, IA
| | $30,150 |
| 19-01855 | 01/28/2022 | Claimant(s): David Frost
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Kevin Wilson, Laidlaw & Company (UK) Ltd.
Respondent Lawyers(s): Kevin Richard Wilson, Richard J. Babnick
Arbitrator(s): Ilene T. Gormly, Robert J. Carlson, Joseph Neal Richardson
Hearing Site: Wichita, KS
| | $0 |
