| 20-03552 | 09/24/2021 | Claimant(s): Ian Rodgers
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Donald Dreyfus
Hearing Site: Phoenix, AZ
| | |
| 21-00697 | 09/24/2021 | Claimant(s): Richard Bellew
Claimant Lawyers(s): Owen Harnett
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Irisa Chen
Arbitrator(s): Steven S. Manos
Hearing Site: Boston, MA
| | |
| 20-01391 | 09/24/2021 | Claimant(s): Andrew McLean, Susan McLean
Claimant Lawyers(s): Lars Soreide
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Dora M. Lassinger, Howard S. Quinn, Marion F. Posner
Hearing Site: New York, NY
|  | Expungement |
| 20-02317 | 09/24/2021 | Claimant(s): Marina Delacruz
Claimant Lawyers(s): Marina Delacruz
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Timothy P. Bogan, Philip Aaron Tymon, Jon H. Sylvester
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12212 |
| 20-02804 | 09/24/2021 | Claimant(s): Jon and Christine Sipe JTWROS
Claimant Lawyers(s): David B. Vermont
Respondent(s): Anastasios Belesis, Nathalo Menendez
Respondent Lawyers(s): Anastasios P. Belesis, Nathalo Ian Menendez
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | $0 |
| 20-00147 | 09/23/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Stuart Cohen
Respondent Lawyers(s): Brenda Kay Brown
Arbitrator(s): Erik R. Siering, David Neil Salmon, Richard L Galin
Hearing Site: Las Vegas, NV
| | |
| 20-00377 | 09/23/2021 | Claimant(s): Benjamin Mahdavi
Claimant Lawyers(s): Frances Menzer
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Scott T. Nonaka
Arbitrator(s): Barbara M. Anscher
Hearing Site: San Francisco, CA
| | |
| 20-03165 | 09/23/2021 | Claimant(s): Vincent Panizzi
Claimant Lawyers(s): Harry Meyer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Detroit, MI
| | |
| 20-03766 | 09/23/2021 | Claimant(s): Christopher Bond
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily Hayes
Arbitrator(s): Steven J. Petrie, Anna M. Fanelli, Royce Russell
Hearing Site: New York, NY
| | |
| 20-03883 | 09/23/2021 | Claimant(s): Daniel Baumgartel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Seattle, WA
| | |
