| 20-02976 | 01/13/2022 | Claimant(s): Normando Matos
Claimant Lawyers(s): Sara Hanley
Respondent(s): Kovack Securities Inc
Respondent Lawyers(s): Gara M. Seagraves
Arbitrator(s): Edward R. Niederriter, Sidney Seligman, Melanie Anne Dernis
Hearing Site: Boca Raton, FL
|  | Expungement |
| 19-03232 | 01/13/2022 | Claimant(s): Amy Wister, Cindy Konits, Gail Friedler, Gordon Boone, Milan Wister, Philip Konits, Richard Friedler, Stanley Friedler
Claimant Lawyers(s): Daniel Miller
Respondent(s): Coleman Devlin, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Steven Irving Platt, Betty Ann Stemley, Beata Gruszecka
Hearing Site: Baltimore, MD
| | $0 |
| 20-04098 | 01/13/2022 | Claimant(s): William Struwe
Claimant Lawyers(s): Scott I. Batterman
Respondent(s): Carmine Berardi
Respondent Lawyers(s): Carmine Anthony Berardi
Arbitrator(s): John J. Fitzpatrick, Michael Lancaster Garcia, Reed Way Dasenbrock
Hearing Site: Honolulu, HI
| | $281,500 |
| 21-00268 | 01/12/2022 | Claimant(s): Robert Heller
Claimant Lawyers(s): Kevin Lampone
Respondent(s): William Pfeifer
Respondent Lawyers(s): Stephen J. Anthony
Arbitrator(s): Jay Lawrence Witkin, Steven M. Guttell, Richard Kent Mahrle
Hearing Site: Phoenix, AZ
| | |
| 20-01792 | 01/12/2022 | Claimant(s): Justin London
Claimant Lawyers(s): Justin London
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Peter Ordower, Anthony P. Pecora, Dennis C. Waldon
Hearing Site: Chicago, IL
| | $0 |
| 20-04065 | 01/12/2022 | Claimant(s): Steven Swanson
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Infinity Financial Services
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): James E. Bartels
Hearing Site: Seattle, WA
| | $0 |
| 21-02115 | 01/12/2022 | Claimant(s): John L. Hillhouse
Claimant Lawyers(s): John L. Hillhouse
Respondent(s): Antwan Cork, Ameriprise Financial Services, Victor Israel
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | $0 |
| 20-03196 | 01/11/2022 | Claimant(s): Jason Zahtila
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): American Capital Partners, Commerce One Financial Inc.
Respondent Lawyers(s): John Gardini, Thomas J. Jennings
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
| | |
| 21-01344 | 01/11/2022 | Claimant(s): Rhys Helt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, RBC Capital Markets LLC
Respondent Lawyers(s): Jennifer E. Novoselsky, Tiana M. Towns
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Indianapolis, IN
| | |
| 21-01630 | 01/11/2022 | Claimant(s): David Spratt
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Alexander Capital, L.P.
Respondent Lawyers(s): Rocco Guidicipierto
Arbitrator(s): Dora M. Lassinger, Gerald M. Levine, Judith C. Aarons
Hearing Site: New York, NY
| | |
