| 19-03654 | 11/15/2021 | Claimant(s): Clinton Rinehart
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
| | |
| 18-02516 | 11/15/2021 | Claimant(s): Estate of David McOllough
Claimant Lawyers(s): Thomas J. Radio
Respondent(s): Edward Jones
Respondent Lawyers(s): Matthew E. Johnson
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
|  | Expungement |
| 18-03854 | 11/15/2021 | Claimant(s): Mary Shea, Patrick Shea
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): COR Clearing.
Respondent Lawyers(s): Carl S. Burkhalter
Arbitrator(s): Robert J. Scafuri, Michael J. Meeusen, Michael Jay Buffoni
Hearing Site: Milwaukee, WI
| | $0 |
| 19-02376 | 11/15/2021 | Claimant(s): Jim Fletcher
Claimant Lawyers(s): Joshua C. Spencer
Respondent(s): Edward Jones
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Nicole T. LeBoeuf, Staci Lynette Glenn, Penny R Robe
Hearing Site: Dallas, TX
| | $0 |
| 21-00676 | 11/15/2021 | Claimant(s): Serdar Ayman
Claimant Lawyers(s): Serdar Ayman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Richard W. Dissen
Hearing Site: Pittsburgh, PA
| | $0 |
| 21-01282 | 11/15/2021 | Claimant(s): Kathleen Marfiz
Claimant Lawyers(s): Kathleen M. Marfiz
Respondent(s): Isaac Wales
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Minneapolis, MN
| | $300 |
| 19-03212 | 11/12/2021 | Claimant(s): Austin Morton
Claimant Lawyers(s): Joe E. White
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Vicki J. Limas, James W. Kerr, Paula Patrick Kerrigan
Hearing Site: Oklahoma City, OK
| | |
| 20-01902 | 11/12/2021 | Claimant(s): Ray Anthony San Pedro
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Eastbrook Capital Group LLC
Respondent Lawyers(s): Edward Samson
Arbitrator(s): Steven Gary Leventhal
Hearing Site: New York, NY
| | |
| 20-03085 | 11/12/2021 | Claimant(s): Samuel Izaguirre
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC, Chase Investment Services Corp.
Respondent Lawyers(s): Michael A. Gross, Sara B. Davis
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | |
| 21-00449 | 11/12/2021 | Claimant(s): Jude Offiah
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): Woodbury Financial Services., Tandem Securities.
Respondent Lawyers(s): James V. Noblett, Kristopher Miller
Arbitrator(s): Lynne M. Gomez
Hearing Site: Oklahoma City, OK
| | |
