| 20-01499 | 07/22/2021 | Claimant(s): Jennea Augsbury, Rick Augsbury
Claimant Lawyers(s): Barrett T. Robin
Respondent(s): Gregory Rachele
Respondent Lawyers(s): Gregory W. Rachele
Arbitrator(s): Robert L. Yeager, Joseph A. Vicario, Albert Joseph Roberts
Hearing Site: Dallas, TX
|  | $807,668 |
| 21-00029 | 07/22/2021 | Claimant(s): Elizabeth Fox
Claimant Lawyers(s): John H. Griffing
Respondent(s): Money Concepts Capital Corp.
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | Dismissed by Rule 12206 |
| 20-02777 | 07/21/2021 | Claimant(s): Christopher Cort
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Oppenheimer & Co.., Josephthal & Co..
Respondent Lawyers(s): Nicola Anne Murphy
Arbitrator(s): Robert E. Anderson
Hearing Site: Jersey City, NJ
| | |
| 19-03552 | 07/21/2021 | Claimant(s): Angela Evans
Claimant Lawyers(s): Angela P. Evans
Respondent(s): David Miller, Henry Klausman, Shelley Eddy, Peachcap Securities.
Respondent Lawyers(s): Gregg J. Breitbart, Henry Martin Klausman
Arbitrator(s): Langfred W. White
Hearing Site: Jacksonville, FL
| | Expungement |
| 20-00395 | 07/21/2021 | Claimant(s): Dmitry Kreslavskiy, Yevgeniya Kreslavskaya, Dmitry Kreslavskiy IRA, Yevgeniya Kreslavskaya IRA
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Concorde Investment Services
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Robert R. Salman, Robert E. Anderson, Patrick R. Westerkamp
Hearing Site: Jersey City, NJ
| | Expungement |
| 20-02243 | 07/21/2021 | Claimant(s): Doris Chien, John Chien
Claimant Lawyers(s): John Y. Chien
Respondent(s): J.P. Morgan Securities, Jason Jensen, Tim Lippincott
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Joseph C. Watson, Daniel David Kopman, Howard Clark Posner
Hearing Site: Los Angeles, CA
| | $0 |
| 20-02563 | 07/20/2021 | Claimant(s): Aaron Leatherwood
Claimant Lawyers(s): Frances Menzer
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Robyn C. Crowther
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
| | |
| 20-02782 | 07/20/2021 | Claimant(s): Jeffrey Segelke
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Hornor, Townsend & Kent
Respondent Lawyers(s): George D. Fagan
Arbitrator(s): Howard R. Gaines
Hearing Site: Salt Lake City, UT
| | |
| 20-02815 | 07/20/2021 | Claimant(s): James Waninger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): George G. Kurschner
Hearing Site: Louisville, KY
| | |
| 20-02901 | 07/20/2021 | Claimant(s): Scott Allen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Terry M Lloyd
Hearing Site: Salt Lake City, UT
| | |
