| 21-00527 | 10/29/2021 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Mark Boucher
Respondent Lawyers(s): Mark Joseph Boucher
Arbitrator(s): Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
| | |
| 21-00917 | 10/29/2021 | Claimant(s): Lawrence Redell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): C. Evan Stewart
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
| | |
| 20-02358 | 10/29/2021 | Claimant(s): Aprile Holland, Ene-Tea Bloom, Jane Thompson, Kevin Harden, Linda Brooks, Suzana Williams, William Farrelly, The Estate of Charles Wayne Lumsden, The Estate of John Francis Crosbie
Claimant Lawyers(s): David A. Bain
Respondent(s): Bart Bohrer, Donald Pollard, Gordon Dihle, Capital Financial Holdings., Capital Financial Services.
Respondent Lawyers(s): Michael Stegawski
Arbitrator(s): Joe E. Manuel, Larry Kenneth Lott, Larry R Armstrong
Hearing Site: Atlanta, GA
|  | $755,723 |
| 20-00852 | 10/29/2021 | Claimant(s): Mark Burgess, Mitchell Burgess
Claimant Lawyers(s): Alan L. Rosca
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): James C. Morrow, Karen Roberts Washington, David W White
Hearing Site: Kansas City, MO
| | Expungement |
| 20-00275 | 10/29/2021 | Claimant(s): Michal Marczyk
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): Lime Brokerage
Respondent Lawyers(s): James L. Kopecky
Arbitrator(s): Seth L. Finkel, Justin M. Moore, Jeff Cappelletti
Hearing Site: Boca Raton, FL
| | $0 |
| 20-03160 | 10/29/2021 | Claimant(s): Matthew Simmons
Claimant Lawyers(s): Matthew Simmons
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Edward W. Morris
Hearing Site: Boston, MA
| | $0 |
| 20-04040 | 10/29/2021 | Claimant(s): Dorothy Head, Hamza Hussain, Jacob Meredith, Joel Yambo-Torres, Kapil Bajaj, Kevin Jahed, Michelle Mullikin, Peter Barker, Robert Head, Serhiy Musyakevych, Vasudeva Manepalli
Claimant Lawyers(s): Jeff M. Meyerson
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Michael S. Yauch, Francis Joseph Bourgeois, Dwayne Nealy McClelland
Hearing Site: Houston, TX
| | $0 |
| 20-03224 | 10/28/2021 | Claimant(s): Erik Drewes
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Kensington Wells Incorporated, American Capital Partners, South Richmond Securities.
Respondent Lawyers(s): Adam Levy, Bruce Jude Guarino, John Gardini
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
| | |
| 20-03764 | 10/28/2021 | Claimant(s): William Tucker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MSI Financial Services.
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | |
| 14-01134 | 10/28/2021 | Claimant(s): Juan Trinidad-Garcia, Juan Felix Trinidad-Rodriguez
Claimant Lawyers(s): Eric Quetglas-Jordan
Respondent(s): Popular Securities
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Langfred W. White, Gloria O. North, Jane A. Smith
Hearing Site: San Juan, PR
| | $6,876,100 |
