| 21-01055 | 01/19/2022 | Claimant(s): Adam Roberts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Kevin W. Brooks
Arbitrator(s): Alice E. Winkler
Hearing Site: Albany, NY
| | |
| 20-01036 | 01/19/2022 | Claimant(s): Johnny Rodriguez
Claimant Lawyers(s): Robert Brian Volynsky
Respondent(s): LPL Financial LLC, Dawn West
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Peter A. Goldman, Peter A. Seibel, John Michael Bergin
Hearing Site: New York, NY
|  | Expungement |
| 20-01831 | 01/18/2022 | Claimant(s): Nancy Mellon
Claimant Lawyers(s): Nancy Kimball Mellon
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Neil M. Katsuyama
Arbitrator(s): Gary L. Hodge, Karl A. Vogeler, Richard Kennard Hurley
Hearing Site: Tampa, FL
| | |
| 20-02277 | 01/18/2022 | Claimant(s): Christopher Scroggins
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Ann McCague
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 20-02352 | 01/18/2022 | Claimant(s): John Akhras
Claimant Lawyers(s): Steven M. Warshawsky
Respondent(s): SG Americas Securities
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Keely D. Parr, Shari Anique Linton, David Mark Goldenberg
Hearing Site: New York, NY
| | |
| 21-01551 | 01/18/2022 | Claimant(s): Dwayne Tidwell
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stanford Group Company
Respondent Lawyers(s): Ralph S. Janvey, Receiver, W. Preston Martin
Arbitrator(s): Lynne M. Gomez, Maurice J. Fallas, William James Smith
Hearing Site: Houston, TX
| | |
| 21-01554 | 01/18/2022 | Claimant(s): Yulia Kalk
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): 1st Discount Brokerage.
Respondent Lawyers(s): Nicky Cheng
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 21-01890 | 01/18/2022 | Claimant(s): Kovack Securities Inc
Claimant Lawyers(s): Amy Towle
Respondent(s): Andrew Scheirer
Respondent Lawyers(s): Benjamin Winogard
Arbitrator(s): Kimberlee Ann Fowler
Hearing Site: Boca Raton, FL
| | |
| 20-03950 | 01/18/2022 | Claimant(s): Janette Bossier, Blane Bossier on Behalf of His IRA, Janette Bossier as Administrator of the, Leonard Bossier IRA, Leonard Bossier SEP
Claimant Lawyers(s): Frank C. Breese
Respondent(s): Edward Jones, Kenneth Knopp
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Roger C. Benson, Kenneth R. Starr, Harvey R. Linder
Hearing Site: Jackson, MS
| | Expungement |
| 20-03396 | 01/18/2022 | Claimant(s): Maria Albers
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): MSC - BD
Respondent Lawyers(s): Christopher D. Seps
Arbitrator(s): James M. Stern, Ericka Cables, Jane Curtman-Schroeder
Hearing Site: St. Louis, MO
| | $221,339 |
