| 21-00057 | 08/03/2021 | Claimant(s): Gary Rosen
Claimant Lawyers(s): Robert L Gonser
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeffrey S. Jacobi
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
| | |
| 20-03554 | 08/03/2021 | Claimant(s): Joan Rudnick, Oak Trail Associates LLC, Oak Trail, II
Claimant Lawyers(s): Ernest Edward Badway
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Linda J. Baer, Marvin L. Schuldiner, Lucille Theresa Alfano
Hearing Site: Jersey City, NJ
|  | $642,610 |
| 19-02889 | 08/03/2021 | Claimant(s): Alioune Thiam
Claimant Lawyers(s): Alioune Thiam
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Frederick Ramos, Grant D. Sanders, Dana Roberts
Hearing Site: Minneapolis, MN
| | $0 |
| 20-02890 | 08/02/2021 | Claimant(s): John Thibault
Claimant Lawyers(s): Harris Freedman
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): J. Travis Mihelick
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
| | |
| 20-03009 | 08/02/2021 | Claimant(s): Michael Wallace
Claimant Lawyers(s): Chelsea Masters
Respondent(s): IAC Securities.
Respondent Lawyers(s): Corporate Office
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
| | |
| 20-03203 | 08/02/2021 | Claimant(s): Ari Spar
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Paul Klein
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
| | |
| 20-03692 | 08/02/2021 | Claimant(s): Chi-Hong Chu
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Robert E. Anderson
Hearing Site: Jersey City, NJ
| | |
| 19-01803 | 08/02/2021 | Claimant(s): Anna Creagh, Jon and Mary Anne Tegethoff, Richard and Karen Neuhengen, Anna Marie Creagh Revocable Living Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Genevieve Mar, Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Robert J. Scafuri, Stanley H. Michelstetter, Timothy Schoewe
Hearing Site: Milwaukee, WI
| | $477,000 |
| 19-03346 | 08/02/2021 | Claimant(s): Ted Sartin, Ted Sartin IRA
Claimant Lawyers(s): Lloyd W. Gathings
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): David A. Schuler, J. Wesley Romine, Charles Lange Clark
Hearing Site: Birmingham, AL
| | $15,375 |
| 20-00677 | 08/02/2021 | Claimant(s): Remo Benvenuti, Remo Benvenuti Irrev Trust UAD 6/29/2007
Claimant Lawyers(s): Joseph P. Ciaramitaro
Respondent(s): Jason Murphy, CCO Investment Services Corp., Charter One Investment Services, Citizens Securities.
Respondent Lawyers(s): Eric A. Michaels, Krista L. Elsasser
Arbitrator(s): Jeffry M. Bauer, Raymond Wade Henney, Barbara A. Johannessen
Hearing Site: Detroit, MI
| | Expungement |
