| 21-01751 | 11/12/2021 | Claimant(s): Bradley Tiche
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Jeanette E. Dennis
Arbitrator(s): Robert E. Anderson
Hearing Site: Pittsburgh, PA
| | |
| 19-02196 | 11/12/2021 | Claimant(s): Michael Meyers
Claimant Lawyers(s): Michael MacDonald
Respondent(s): John Santariello
Respondent Lawyers(s): John Joseph Santariello
Arbitrator(s): Jack D. Elmquist, Leo G. Stern, John (Jack) Louis Neveaux
Hearing Site: Minneapolis, MN
|  | $358,098 |
| 19-01802 | 11/12/2021 | Claimant(s): Jennifer Lona, Philip Lane
Claimant Lawyers(s): Mark K. Davis
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
| | $34,875 |
| 21-01507 | 11/12/2021 | Claimant(s): Jackie Robinson
Claimant Lawyers(s): Jackie Robinson
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
| | $0 |
| 21-00117 | 11/11/2021 | Claimant(s): Baerbel O'Haire
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | |
| 21-00461 | 11/11/2021 | Claimant(s): Lloyd Glazer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
| | |
| 20-02143 | 11/11/2021 | Claimant(s): Branna Rose
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): Gregory Heller, Steven Weinberger, HCR Wealth Advisors, Heller Capital Resources
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Joseph Alfred Davis, Constance Ellen Boukidis, Marc David Wilde
Hearing Site: Los Angeles, CA
| | Expungement |
| 20-03365 | 11/11/2021 | Claimant(s): Matthew Nekuza
Claimant Lawyers(s): Henry Simpson
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Joseph A. Vicario, Joseph Neal Richardson, Brandy Kearney Chambers
Hearing Site: Dallas, TX
| | $0 |
| 18-04155 | 11/10/2021 | Claimant(s): Jason Klein
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Olga Hejl
Respondent Lawyers(s): Salvatore W. Pirrotta
Arbitrator(s): Edward M. Olson, Raymond J. Sterling, Ethan Ray
Hearing Site: Detroit, MI
| | |
| 20-03071 | 11/10/2021 | Claimant(s): Mathew Schweifler
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): Rosemary Francavilla
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
