| 21-00170 | 09/17/2021 | Claimant(s): Lisa Kulhavi
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
| | |
| 21-01152 | 09/17/2021 | Claimant(s): Kent Kirby
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Harvey R. Linder
Hearing Site: Nashville, TN
| | |
| 19-00721 | 09/17/2021 | Claimant(s): Nicholas and Brigit Trentalange, Robert and Marcia Shinbrot
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Andrea R. Jacobs, Jason Allen Rosner, Lan Trinh
Hearing Site: Boca Raton, FL
|  | $848,120 |
| 19-03588 | 09/17/2021 | Claimant(s): Adolph Garcia, Elsie Garcia, Garcia Family Trust
Claimant Lawyers(s): J. Ryan Gustafson
Respondent(s): Morgan Stanley, George Strnad
Respondent Lawyers(s): Jeff Palmer
Arbitrator(s): Joyce L. Hurley, Kirtley M. Thiesmeyer, Natalie Panossian-Bassler
Hearing Site: Los Angeles, CA
| | Expungement |
| 19-03662 | 09/17/2021 | Claimant(s): Janelle Salon, Salon Family Trust
Claimant Lawyers(s): Gus W. Flangas
Respondent(s): Morgan Stanley, Perry Basch
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): Elliott Finkel, Andrew M. Mintzer, Robert B. Hansohn
Hearing Site: Las Vegas, NV
| | $0 |
| 20-00836 | 09/17/2021 | Claimant(s): Gary Panion, Ronald Panion
Claimant Lawyers(s): Christopher C. Young
Respondent(s): Edward Jones, Scott Blando
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Patrick J. Halter
Hearing Site: Helena, MT
| | $49,398 |
| 21-00483 | 09/17/2021 | Claimant(s): Rodney Klein
Claimant Lawyers(s): Rodney Seth Klein
Respondent(s): Bryan Schon
Respondent Lawyers(s): Irisa Chen
Arbitrator(s): Harvey R. Linder
Hearing Site: Nashville, TN
| | $213 |
| 21-01035 | 09/17/2021 | Claimant(s): Erguis Mertiri
Claimant Lawyers(s): Erguis Mertiri
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Adam A. Brown
Arbitrator(s): Robert Elliot Harrison
Hearing Site: New York, NY
| | $0 |
| 20-03119 | 09/16/2021 | Claimant(s): Michael Fasciglione
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation, First Montauk Securities Corp.
Respondent Lawyers(s): Emily A. Hayes, Robert I. Rabinowitz
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 20-03651 | 09/16/2021 | Claimant(s): Bradley Thompson
Claimant Lawyers(s): Harris Freedman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
| | |
