| 21-00758 | 09/22/2021 | Claimant(s): William Stordahl
Claimant Lawyers(s): Chelsea Masters
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Thaddeus J. Tecza
Hearing Site: Denver, CO
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| 21-01274 | 09/22/2021 | Claimant(s): Hailey Woolf ESA, Hailey Woolf UTMA, Walker Woolf ESA, Walker Woolf UTMA, Melissa Woolf Roth IRA, Melissa Woolf r/o IRA, Steven Woolf Roth IRA, Steven & Melissa Woolf Joint
Claimant Lawyers(s): Steven Woolf
Respondent(s): Ameriprise Financial Services., Wells Fargo Clearing Services, Jonathan Mirer, Michael Swinehart
Respondent Lawyers(s): Jeffery D. Rodgers, Sydney H. Crowder
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Charlotte, NC
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| 20-01594 | 09/20/2021 | Claimant(s): Brandon Cheshier
Claimant Lawyers(s): Danilo Borgas
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Brenna Anatone Force
Arbitrator(s): Jim Geiger, Robert L. Chase, John C Solomon
Hearing Site: Providence, RI
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| 20-02472 | 09/20/2021 | Claimant(s): Stephen Kiront
Claimant Lawyers(s): John D. Stewart
Respondent(s): Monroe Parker Securities., Stratton Oakmont., Fairchild Financial Group.
Respondent Lawyers(s): Alan Lipsky, Domingas Tavares, Patrick G. Hayes
Arbitrator(s): Carol Maria Luttati
Hearing Site: New York, NY
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| 20-02726 | 09/20/2021 | Claimant(s): Roger Camp
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
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| 18-03696 | 09/20/2021 | Claimant(s): Jay Fagan, Sandra Fagan
Claimant Lawyers(s): Richard D. De Vita
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Howard J. Stiefel, Francis Carling, Richard Lee Mansdoerfer
Hearing Site: New York, NY
| | Expungement |
| 18-03389 | 09/17/2021 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Andrew Froman
Respondent(s): Roberto 'Tucker' Lopez
Respondent Lawyers(s): Roberto Tucker Maria Lopez
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
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| 19-01727 | 09/17/2021 | Claimant(s): Luis Cota
Claimant Lawyers(s): Christopher A. Macey
Respondent(s): Susquehanna International Group, LLP
Respondent Lawyers(s): Erin K. Clarke
Arbitrator(s): M. Melvin Shralow, Andrew S. Walsh, Elizabeth Ann Morgan
Hearing Site: Philadelphia, PA
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| 20-01332 | 09/17/2021 | Claimant(s): Chun Zhu
Claimant Lawyers(s): Chun Mei (Ida) Zhu
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Jeffrey D. Hanslick
Arbitrator(s): Katherine Hendricks, William J. Bender, Craig Charles Beles
Hearing Site: Seattle, WA
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| 20-03020 | 09/17/2021 | Claimant(s): James Clemensen
Claimant Lawyers(s): Harris Freedman
Respondent(s): Cliftonlarsonallen Wealth Advisors
Respondent Lawyers(s): Brian J. Buffie
Arbitrator(s): Gerald Thomas Harper
Hearing Site: Orlando, FL
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