| 21-01416 | 01/06/2022 | Claimant(s): Justin Vaccaro
Claimant Lawyers(s): Brian Luther
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Bruce W. Barnes
Arbitrator(s): Joseph C. Roberts
Hearing Site: Portland, OR
| | |
| 21-01206 | 01/06/2022 | Claimant(s): Jose Batista
Claimant Lawyers(s): August M. Iorio
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): John James McGovern
Hearing Site: Hartford, CT
|  | $29,611 |
| 21-00021 | 01/06/2022 | Claimant(s): Dierdre Hallick, Mark Hallick
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Securities America., Investacorp Inc., Stephen Lawler, First Allied Securities.
Respondent Lawyers(s): Justin Sacca, Sean T. Needham
Arbitrator(s): Leonard Arthur Nelson, Jonathan B. Gilbert, Stuart W. Smith
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 19-03119 | 01/05/2022 | Claimant(s): Daniel Schreiner
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Ameriprise Financial Services, Stephen Ross
Respondent Lawyers(s): Jeffrey L. Rudd, Julie Fleming-Wolfe
Arbitrator(s): Michael S. Jordan, Susan L. Walker, William John Lillwitz
Hearing Site: Chicago, IL
| | |
| 20-01542 | 01/05/2022 | Claimant(s): Jennifer D. Port as Trustee, Lawrence A. Savarese, Jr. as Trustee
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Herbert Branitsky, Mitchell Stephen Feig, Margo Leslie Green
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-02174 | 01/05/2022 | Claimant(s): Bryan Forstman
Claimant Lawyers(s): David Vermont
Respondent(s): Worden Capital Management LLC, Jamie Worden
Respondent Lawyers(s): Jamie John Worden
Arbitrator(s): Mary Elizabeth Skelnik
Hearing Site: Birmingham, AL
| | $7,100 |
| 21-00134 | 01/03/2022 | Claimant(s): Adoracion Estanislao
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Fidelity Brokerage Services LLC, Steven Boschert
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Martin Mushkin, Charles F. Titterton, Howard Alan Grinsberg
Hearing Site: New York, NY
| | $0 |
| 19-02676 | 12/31/2021 | Claimant(s): Walter Converse
Claimant Lawyers(s): Bradley D Schnur
Respondent(s): Clifford Reid, Reid & Rudiger LLC
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): Tina E. Patterson, Dawn M. Antalik-Baker, Daniel F. Piar
Hearing Site: Charlotte, NC
| | Expungement |
| 20-03279 | 12/31/2021 | Claimant(s): Jamie Taylor
Claimant Lawyers(s): D. Daxton White
Respondent(s): Concorde Investment Services
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Michele Renee Zinn, Michael James Whinihan, Suzanne L. Ulicny
Hearing Site: Detroit, MI
| | Expungement |
| 19-01813 | 12/31/2021 | Claimant(s): Dale Hadel, Global Technology., Dale Hadel Family Trust
Claimant Lawyers(s): Mark Kowalsky
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Edward Walton
Arbitrator(s): Patrick R. Sughroue, Earlene R. Baggett-Hayes, Dale Frederick Feigley
Hearing Site: Detroit, MI
| | $0 |
