| 20-02992 | 07/12/2021 | Claimant(s): Kirk Mandlin
Claimant Lawyers(s): Chelsea Masters
Respondent(s): Edward Jones
Respondent Lawyers(s): Bentley P. Stansbury
Arbitrator(s): David William Hickman
Hearing Site: Seattle, WA
| | |
| 20-03027 | 07/12/2021 | Claimant(s): Thomas Briguccia
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Spartan Capital Securities
Respondent Lawyers(s): Kim Monchik
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | |
| 21-00092 | 07/12/2021 | Claimant(s): Ryan Hook
Claimant Lawyers(s): Jane L. Stafford
Respondent(s): Commerce Brokerage Services.
Respondent Lawyers(s): Douglas M. Weems
Arbitrator(s): M W Gear, Kelly T. Coughlin, Stephen Douglas Bonney
Hearing Site: Kansas City, MO
| | |
| 19-00822 | 07/12/2021 | Claimant(s): James Collins
Claimant Lawyers(s): Adam M. Green
Respondent(s): Stephen DeCesare, Triad Advisors LLC
Respondent Lawyers(s): Brian A. Carlis, James A. McGovern
Arbitrator(s): Julie K. Chapin, Mary S. Wyatte, Anne O'Connell Umbrecht
Hearing Site: Philadelphia, PA
|  | Expungement |
| 19-00961 | 07/12/2021 | Claimant(s): Carolyn Long
Claimant Lawyers(s): Jason R. Doss
Respondent(s): Peter Schiff, A.G.P. / Alliance Global Partners
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Michael S. Yauch, Wayne Irwin Fagan, Esther Treneer
Hearing Site: Houston, TX
| | Expungement |
| 18-04216 | 07/09/2021 | Claimant(s): Andrew Safran
Claimant Lawyers(s): Jonathan S. Sack
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Paul R. Walsh, Richard A. Cini, Mitchell Regenbogen
Hearing Site: New York, NY
| | |
| 20-02146 | 07/09/2021 | Claimant(s): Hernan Fonseca
Claimant Lawyers(s): Harris Freedman
Respondent(s): Amfin Investment Services.
Respondent Lawyers(s): Carol S. Severino
Arbitrator(s): Herbert Branitsky
Hearing Site: Boca Raton, FL
| | |
| 20-02684 | 07/09/2021 | Claimant(s): Charles Lawless
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Mesirow Financial.
Respondent Lawyers(s): Jeffrey Levine
Arbitrator(s): Donald M. Thompson
Hearing Site: Chicago, IL
| | |
| 20-03470 | 07/09/2021 | Claimant(s): Clayton Shum
Claimant Lawyers(s): Harris Freedman
Respondent(s): First Midwest Securities.
Respondent Lawyers(s): David Nevinski
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | |
| 20-04091 | 07/09/2021 | Claimant(s): Steven LaPorta
Claimant Lawyers(s): Brian Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): James J. Stamos
Hearing Site: Chicago, IL
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