| 20-01248 | 09/10/2021 | Claimant(s): Alan Withrow, Belva Withrow
Claimant Lawyers(s): Travis A. Griffith
Respondent(s): Robert Skidmore, Money Concepts Capital Corp
Respondent Lawyers(s): Lee Murray Hall
Arbitrator(s): Kevin R. Zehe, Stephen M. Bales, John C. Aten
Hearing Site: Charleston, WV
|  | Expungement |
| 19-03145 | 09/10/2021 | Claimant(s): Wilgus Family Survivors Trust
Claimant Lawyers(s): Jeffrey K. Wilgus
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Herbert Liberman, Katherine Jane Morris, Helen W. Kinnaird
Hearing Site: San Diego, CA
| | Dismissed by Rule 12504(b) |
| 20-02793 | 09/09/2021 | Claimant(s): Robert Ryan
Claimant Lawyers(s): Zachary Morse
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | |
| 20-02930 | 09/09/2021 | Claimant(s): Craig Bonn
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Laidlaw & Company (UK) Ltd.
Respondent Lawyers(s): Charles Smulevitz
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
| 20-02728 | 09/08/2021 | Claimant(s): Robin Naylor
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Philip A Pizelo
Arbitrator(s): Craig Charles Beles
Hearing Site: Seattle, WA
| | |
| 20-03028 | 09/08/2021 | Claimant(s): Joshua Stroud
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Sara B. Davis, Shelley Davenport
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Portland, OR
| | |
| 20-03134 | 09/08/2021 | Claimant(s): Mark Kolta
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | |
| 21-00319 | 09/08/2021 | Claimant(s): Richard Kaplan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Legacy Asset Securities.
Respondent Lawyers(s): Joseph R. Birkofer
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 19-01867 | 09/08/2021 | Claimant(s): Anthony Porco
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Terrance J. Nolan, Betty Chen, John Michael Richardson
Hearing Site: New York, NY
| | $0 |
| 20-03156 | 09/08/2021 | Claimant(s): Arian Eskandari
Claimant Lawyers(s): Andrew W. Hutton
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Anthony D. DeToro
Hearing Site: Los Angeles, CA
| | $0 |
