| 21-00848 | 08/05/2021 | Claimant(s): Michael Sanzo
Claimant Lawyers(s): Michael Ryan Sanzo
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Shawn J. Gebhardt
Arbitrator(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
|  | $300 |
| 19-03088 | 08/04/2021 | Claimant(s): Brooklight Place Securities.
Claimant Lawyers(s): Kristi L. Browne
Respondent(s): Charles Brettell, Joanne Woiteshek, Richard Peterbok, Interactive Financial Advisors.
Respondent Lawyers(s): James L. Kopecky, Kristi L. Browne
Arbitrator(s): Joy Pava Shulruff, Jacqueline Stanley Lustig, Dianne Marie Onichimowski
Hearing Site: Chicago, IL
| | |
| 20-02450 | 08/04/2021 | Claimant(s): Mark Kolta
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation, Aegis Capital Corp.
Respondent Lawyers(s): Daniel Scott Furst, Emily A. Hayes
Arbitrator(s): Carolyn A. Mann
Hearing Site: New York, NY
| | |
| 19-00571 | 08/04/2021 | Claimant(s): Darla D. Ward, Lawrence J. Ward
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): Cheryl Romann, Donald Waage, John Carlson, Steven Knuttila, Capital Financial Services.
Respondent Lawyers(s): Cheryl Lynn Romann, David A. Baugh, Donald Waage, Gordon Dihle, Steven R. Knuttila
Arbitrator(s): Douglas J. Nesbit, Phyllis Karasov, Leo G. Stern
Hearing Site: Minneapolis, MN
| | $939,300 |
| 15-02646 | 08/04/2021 | Claimant(s): Lizmarie Esparza, JL Esparza., Jose Esparza & Egdalis Blanco De Esparza
Claimant Lawyers(s): Luis E. Minana, Luis Elvin Gonzalez
Respondent(s): Oriental Financial Services
Respondent Lawyers(s): Pedro Hernandez-Freire
Arbitrator(s): Stuart Sinai, David Edward Upton, Richard Francis Kane
Hearing Site: San Juan, PR
| | $700,000 |
| 18-04247 | 08/04/2021 | Claimant(s): Aliya Falk, Linda Falk, Mariel Falk
Claimant Lawyers(s): John C. Re
Respondent(s): Gary Zahakos, UBS Financial Services Inc.
Respondent Lawyers(s): Joshua S. Bratspies
Arbitrator(s): Jay Alan Kranis, David John Reilly, Albert Rizzo
Hearing Site: New York, NY
| | $0 |
| 19-03519 | 08/04/2021 | Claimant(s): Bradford Kittle
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Marvin Kent Speigner, J. Wesley Romine, Emily Sides Bonds
Hearing Site: Birmingham, AL
| | $0 |
| 20-01135 | 08/04/2021 | Claimant(s): Daniel Sebastian, Robin Sebastian
Claimant Lawyers(s): Robert C. Rosen
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Adam Michael Porter, Pamela Jane Koslow, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
| | $0 |
| 20-03052 | 08/03/2021 | Claimant(s): Robin Taliaferro
Claimant Lawyers(s): Chelsea Masters
Respondent(s): Vanguard Capital, Western International Securities.
Respondent Lawyers(s): Gregory Serras, Jeffrey K. Compton
Arbitrator(s): Gregory Douglas Stone
Hearing Site: Los Angeles, CA
| | |
| 20-04205 | 08/03/2021 | Claimant(s): Alex Shore
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Joseph Charles Smolira, A.J. Seier, James A. McIntosh
Hearing Site: Nashville, TN
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