| 19-02008 | 12/07/2021 | Claimant(s): Shirley Beneke, William Beneke
Claimant Lawyers(s): Fred Spigarelli
Respondent(s): LPL Financial LLC, Jake Warrington
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Kansas City, MO
|  | Expungement |
| 18-03572 | 12/07/2021 | Claimant(s): Stine Seed Farm.
Claimant Lawyers(s): Patricia L. Vannoy
Respondent(s): D.A. Davidson & Co.
Respondent Lawyers(s): James K. Langdon
Arbitrator(s): Alain Frecon, Brett Coonrod, Deborah Kristine Gilg
Hearing Site: Des Moines, IA
| | $750 |
| 21-00183 | 12/07/2021 | Claimant(s): Philip Hamilton
Claimant Lawyers(s): Walter Musgrove
Respondent(s): Chesha Traylor
Respondent Lawyers(s): Scott A. Ritcheson
Arbitrator(s): Michael Wayne Johnston, Valarie Wright, John Gary Langford
Hearing Site: Dallas, TX
| | Expungement |
| 19-03817 | 12/06/2021 | Claimant(s): D. Blankenship
Claimant Lawyers(s): Frances Menzer
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Robert L. Gonser
Arbitrator(s): David Sear, Randy R. Maher, Thomas L. Marshall
Hearing Site: San Diego, CA
| | |
| 20-01731 | 12/06/2021 | Claimant(s): Livingston Asset Management LLC, Oscaleta Partners LLC, Queenston Partners LP, Trillium Partners LP
Claimant Lawyers(s): Steven Hicks
Respondent(s): Charles Lek, David Weiniger, Michael Mainwald, Ramute Zukas, Samuel Lek, Lek Securities Corporation
Respondent Lawyers(s): Adam M. Felsenstein
Arbitrator(s): Peter A. Goldman, Martin Mushkin, Edmund Timothy Donovan
Hearing Site: New York, NY
| | $0 |
| 21-01499 | 12/06/2021 | Claimant(s): Mark Marandino
Claimant Lawyers(s): Eleanor M Samuels
Respondent(s): Manya Lowman
Respondent Lawyers(s): Manya Lowman
Arbitrator(s): Robert Steven Haught, Robert J Mayer, Joshua Byrne Spector
Hearing Site: Boca Raton, FL
| | Expungement |
| 19-01686 | 12/03/2021 | Claimant(s): Swan Shen
Claimant Lawyers(s): Jeremy L Bartell
Respondent(s): Cuna Brokerage Services.
Respondent Lawyers(s): Jennifer G. Chawla
Arbitrator(s): Richard J. Grahn, Arthur J. Giacomarra, Mark Andrew Helman
Hearing Site: Boston, MA
| | |
| 21-00901 | 12/03/2021 | Claimant(s): David Bindelglass
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Joan M. Traub
Hearing Site: Jersey City, NJ
| | |
| 20-01556 | 12/03/2021 | Claimant(s): Alila Hollander
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
| | Expungement |
| 19-02055 | 12/03/2021 | Claimant(s): Cita Trust Company AG
Claimant Lawyers(s): Stephanie Martin
Respondent(s): Ann Allen, Fifth Third Securities.
Respondent Lawyers(s): Joseph N. Tucker, Samuel Gilley
Arbitrator(s): Richard S. Zaifert, Joel F. Martineau, Thomas Roe Oldt
Hearing Site: Tampa, FL
| | $0 |
