| 20-01114 | 11/10/2021 | Claimant(s): Richard Dudley, R. Dudley on behalf of his IRA accts, R. Dudley AIF for spouse, Anna A. Dudley
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Andrea U. Calve, Mary Elizabeth Skelnik, Charles McGarry
Hearing Site: Dallas, TX
|  | Expungement |
| 20-02767 | 11/10/2021 | Claimant(s): Beverly R. McCullough, Thomas W. McCullough
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): KCD Financial.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): William A. Fynes, Mary Elizabeth Skelnik, Melissa Nycole Hearon
Hearing Site: Dallas, TX
| | Expungement |
| 21-00479 | 11/10/2021 | Claimant(s): Sarah J. Basler and Donald Basler, TTEE
Claimant Lawyers(s): David B. Vermont
Respondent(s): Gerald Mars, Hemant Kathuria, Peter Schiff, William Mcbean, A.G.P. / Alliance Global Partners, Euro Pacific Capital.
Respondent Lawyers(s): Kurt T. Kalberer
Arbitrator(s): Stuart K. Furman, Kenneth R. Starr, Harvey R. Linder
Hearing Site: Columbia, SC
| | Expungement |
| 21-00694 | 11/10/2021 | Claimant(s): Joyce L. Burkheiser
Claimant Lawyers(s): Kathryn A Salfingere
Respondent(s): Morgan Stanley, Kal Jamsa
Respondent Lawyers(s): Kathleen Salvaty
Arbitrator(s): Dean J. Dietrich
Hearing Site: Boise, ID
| | $0 |
| 21-01695 | 11/10/2021 | Claimant(s): Beth Willer
Claimant Lawyers(s): Beth L. Willer
Respondent(s): Stefan Reddrick, Next Financial Group.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | $163 |
| 20-00161 | 11/09/2021 | Claimant(s): Carol Avery, Robert Avery
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Neils P. Murphy
Arbitrator(s): Sherry R. Wetsch, Jude A Smith, Mark Ritchie
Hearing Site: Houston, TX
| | $51,375 |
| 17-03013 | 11/09/2021 | Claimant(s): Laurie Diamond
Claimant Lawyers(s): Laurie E. Diamond
Respondent(s): Morgan Stanley, Wells Fargo Advisors, Jeffrey Van Demark
Respondent Lawyers(s): Andrew R. Park, Irisa Chen, Patricia E. Cowart
Arbitrator(s): Pamela H Roderick, Camille S. Cooper, Michael S. Perinelli
Hearing Site: New York, NY
| | Expungement |
| 20-01323 | 11/09/2021 | Claimant(s): Carl Amon
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Jeffrey M. Allen, Jon Richard Catten, Leon Werner Crockett
Hearing Site: Salt Lake City, UT
| | $0 |
| 21-00747 | 11/08/2021 | Claimant(s): Zheng Qu
Claimant Lawyers(s): Erika Binnix
Respondent(s): Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 20-02377 | 11/08/2021 | Claimant(s): Michael Robinson
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Jeffrey Kemp, Janney Montgomery Scott LLC
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Martin A. Feigenbaum, Lawrence S. Silver, Marvin S. Lava
Hearing Site: Boca Raton, FL
| | Expungement |
