| 20-04224 | 12/09/2021 | Claimant(s): Daniel Larsen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Howard R. Gaines
Hearing Site: Salt Lake City, UT
| | |
| 21-01115 | 12/09/2021 | Claimant(s): Laura Chao
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
| | |
| 21-01154 | 12/09/2021 | Claimant(s): Michael Bolen
Claimant Lawyers(s): James P. Galvin
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Richard P. Regan, Ezio Borchini, Christopher M. McMurray
Hearing Site: Washington, DC
| | |
| 18-02720 | 12/09/2021 | Claimant(s): John Mitchell Marmaduke Revocable Living
Claimant Lawyers(s): Mark S. Simms
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): James W. Geiger, Joseph Benalt, Gregory Richard Barthelette
Hearing Site: Boca Raton, FL
|  | $150,000 |
| 20-01669 | 12/09/2021 | Claimant(s): Lacey Keath
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Jack Chapline Vaughan, Allan R. Lazor, James Douglas Gaughan
Hearing Site: Houston, TX
| | $4,000,000 |
| 20-03639 | 12/09/2021 | Claimant(s): Charles McCallum, Constance McCallum
Claimant Lawyers(s): Paul A. Albarran
Respondent(s): Bryan Tutton, Edward Jones
Respondent Lawyers(s): Roger P. Meyers
Arbitrator(s): Philip J. Glick, Hugh John Totten, Dennis C. Waldon
Hearing Site: Chicago, IL
| | Expungement |
| 20-00941 | 12/09/2021 | Claimant(s): Colman Kraff as Trustee, Julie Kraff as Trustee
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Stuart D. Summers, Susan M. Coleman, Odalo Joseph Ohiku
Hearing Site: Chicago, IL
| | $40,300 |
| 20-03309 | 12/09/2021 | Claimant(s): Kevin Sprouse
Claimant Lawyers(s): Kevin E. Sprouse
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Jeffry M. Bauer
Hearing Site: St. Louis, MO
| | $0 |
| 21-01612 | 12/09/2021 | Claimant(s): Lorenza Ceballos-Elder
Claimant Lawyers(s): Lorenza L. Ceballos-Elder
Respondent(s): Cassandra Moreno, Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | $325 |
| 21-01743 | 12/09/2021 | Claimant(s): Joseph Lovallo
Claimant Lawyers(s): Joseph S. Lovallo
Respondent(s): John Pronovost
Respondent Lawyers(s): John Stephen Pronovost
Arbitrator(s): Mary Elizabeth Satran
Hearing Site: Hartford, CT
| | $0 |
