| 20-03827 | 11/18/2021 | Claimant(s): Craig Pearlman
Claimant Lawyers(s): Jacob L. Kahn
Respondent(s): Aon Securities
Respondent Lawyers(s): David M. Katz
Arbitrator(s): Mark W Solock
Hearing Site: Chicago, IL
| | |
| 20-03126 | 11/18/2021 | Claimant(s): James Freund, IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Leonard Arthur Nelson, Sally J. Wiggins, Maxwell Charles Livingston
Hearing Site: Milwaukee, WI
|  | $0 |
| 20-02608 | 11/17/2021 | Claimant(s): Jeremy Dicker
Claimant Lawyers(s): David Harrison
Respondent(s): MML Investors Services
Respondent Lawyers(s): Elliott J. Stein
Arbitrator(s): Natalie Panossian-Bassler
Hearing Site: Los Angeles, CA
| | |
| 21-00685 | 11/17/2021 | Claimant(s): Lawrence Ennis
Claimant Lawyers(s): Megan M. Christensen
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brendan T. Killeen
Arbitrator(s): Steven Gary Leventhal
Hearing Site: New York, NY
| | |
| 21-00869 | 11/17/2021 | Claimant(s): Zachary Stuart
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Edward A. Trabin
Hearing Site: Los Angeles, CA
| | |
| 19-00637 | 11/17/2021 | Claimant(s): Linda Stack
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Gary M. Landau, Gerald Silverman, Leon H. Tracy
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-00707 | 11/17/2021 | Claimant(s): Faramaz Bardi, Laleh Bardi, The Bardi Family Trust
Claimant Lawyers(s): Marc Irwin Zussman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer N. Lamirand
Arbitrator(s): Barbara M. Zak, Joseph C. Watson, Maggie Soleimani
Hearing Site: Los Angeles, CA
| | Expungement |
| 18-04033 | 11/17/2021 | Claimant(s): Aron Tessler, Naomi Tessler, Tessler Associates LLC, Aron & Ritchel Zichron Kdoshim Loan Fund
Claimant Lawyers(s): Seth Lipner
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Keely D. Parr, Paul C. Tang, Gerald M. Levine
Hearing Site: New York, NY
| | $0 |
| 20-03381 | 11/17/2021 | Claimant(s): Marcia Bonilla
Claimant Lawyers(s): H. Daniel Murphy
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Edward K. Lenci, Jeffrey Alan Helewitz, Jay Alan Kranis
Hearing Site: New York, NY
| | $0 |
| 21-00966 | 11/17/2021 | Claimant(s): Gary Barnes
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Damian Bell, International Assets Advisory, WFG Investments.
Respondent Lawyers(s): Alan M. Wolper, David Williams
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
| | $0 |
