| 21-01025 | 08/09/2021 | Claimant(s): James Garner
Claimant Lawyers(s): Bryan Ward
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Paul M. Foster, Maryanne M. Esser, Allan R. Lazor
Hearing Site: Little Rock, AR
| | |
| 20-01826 | 08/06/2021 | Claimant(s): Jonathan Hoelscher
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Harlita R. Tomlinson
Hearing Site: Cincinnati, OH
| | |
| 20-02654 | 08/06/2021 | Claimant(s): Margaret Rivera
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
| | |
| 20-03135 | 08/06/2021 | Claimant(s): Wesley Sorensen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
| | |
| 21-00220 | 08/06/2021 | Claimant(s): Shaun Stein
Claimant Lawyers(s): Brian Luther
Respondent(s): National Securities Corporation, J.P. Turner & Company
Respondent Lawyers(s): David Feldstein, Emily A. Hayes
Arbitrator(s): Robert E. Anderson
Hearing Site: Jersey City, NJ
| | |
| 19-02822 | 08/06/2021 | Claimant(s): Constantine Cristo
Claimant Lawyers(s): Constantine Gus Cristo
Respondent(s): Charles Schwab & Co.., Charles Schwab Bank, Charles Schwab Corporation, Charles Schwab Investment Management Inc, Schwab Holdings.
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Robert Rosen, Sally G. Williams, Thomas L. Marshall
Hearing Site: San Diego, CA
|  | $0 |
| 19-03164 | 08/06/2021 | Claimant(s): Timothy Jackson
Claimant Lawyers(s): Timothy Wayne Jackson
Respondent(s): Prudential Annuities Distributors
Respondent Lawyers(s): Sarah M. Mancuso
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cleveland, OH
| | $225 |
| 20-03698 | 08/06/2021 | Claimant(s): Tobias Lenza
Claimant Lawyers(s): Anthony A. Lenza
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): David S. Richan
Arbitrator(s): Mary Julia O'Connell, Hashim Ghadiali, John Warner Lowe
Hearing Site: New York, NY
| | $0 |
| 20-00360 | 08/05/2021 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Robert Satterfield
Respondent Lawyers(s): Dave Scher
Arbitrator(s): David Paul Clark, Geoffrey A. Drucker, Francis Henry Dong
Hearing Site: Washington, DC
| | |
| 21-00646 | 08/05/2021 | Claimant(s): Erin Elskes, Javier Sanchez Nieto
Claimant Lawyers(s): Erin E Elskes, Javier Sanchez Nieto
Respondent(s): Amy Blodgett, Ameritas Advisory Services
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $20,703 |
