| 19-03340 | 11/04/2021 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Ameriprise Financial Services, Michael Peterson
Respondent Lawyers(s): Danya W. Blair, James E. Heavey
Arbitrator(s): James A. Sigler, Paul E. Dahlman, Richard Mathew Greenspan
Hearing Site: Las Vegas, NV
| | |
| 20-00417 | 11/04/2021 | Claimant(s): Jeffry Schneider
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Elizabeth R. Aylett
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
| | |
| 20-01900 | 11/04/2021 | Claimant(s): Joseph Serensits
Claimant Lawyers(s): Eric D. Edwards
Respondent(s): Firhan Choudhary, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Barbara Black, Michael E. Weddington, John Russell Barlow
Hearing Site: Raleigh, NC
|  | Expungement |
| 21-00522 | 11/04/2021 | Claimant(s): Jason McGowan
Claimant Lawyers(s): Jason Roy McGowan
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Jennifer Burke
Arbitrator(s): Herbert Liberman
Hearing Site: Albuquerque, NM
| | $0 |
| 21-02259 | 11/04/2021 | Claimant(s): Fredrick Schiffle
Claimant Lawyers(s): Kevin P. Kruppnick
Respondent(s): Joseph Thurnherr
Respondent Lawyers(s): Joseph Morris Thurnherr
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Boise, ID
| | $0 |
| 20-02453 | 11/03/2021 | Claimant(s): Kevin McPhee
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): A. R. Baron & Co.., American Capital Partners, First United Equities Corporation, Joseph Gunnar & Co.
Respondent Lawyers(s): Jeffrey Weissman, John Gardini, Legal Department, Peter Bon Viso
Arbitrator(s): Selma Moy
Hearing Site: New York, NY
| | |
| 21-00702 | 11/03/2021 | Claimant(s): Anibal Drelichman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Oppenheimer & Co.., Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, Nicola Anne Murphy
Arbitrator(s): Michael James Malone
Hearing Site: Washington, DC
| | |
| 21-01267 | 11/03/2021 | Claimant(s): Christian Risenmay
Claimant Lawyers(s): Jake Jacobsen
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
| | |
| 21-00620 | 11/03/2021 | Claimant(s): Kristen Graham
Claimant Lawyers(s): Norman W. Graham
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Barry Goldman
Hearing Site: Louisville, KY
| | $0 |
| 20-03645 | 11/02/2021 | Claimant(s): Javier Ovalles
Claimant Lawyers(s): Javier Ovalles
Respondent(s): Transamerica Investors Securities Corp.
Respondent Lawyers(s): Misty A. Murray
Arbitrator(s): William W. Haskell, Arocles Aguilar, Douglas J. Pavese
Hearing Site: San Francisco, CA
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