| 21-00230 | 07/09/2021 | Claimant(s): Austin Jones
Claimant Lawyers(s): Austin Jones
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Washington, DC
|  | $38 |
| 21-00641 | 07/09/2021 | Claimant(s): Charlie Moreno
Claimant Lawyers(s): Charlie E. Moreno
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Karen Roberts Washington
Hearing Site: Dallas, TX
| | $0 |
| 20-02391 | 07/08/2021 | Claimant(s): Alan Sharpe
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
| | |
| 20-02720 | 07/08/2021 | Claimant(s): Joseph Marino
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Robert Titus
Hearing Site: Hartford, CT
| | |
| 20-03214 | 07/08/2021 | Claimant(s): Jason Seale
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): American Wealth Management.
Respondent Lawyers(s): Joel R. Beck
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
| | |
| 21-00001 | 07/08/2021 | Claimant(s): Brian Rorick
Claimant Lawyers(s): Michelle Atlas
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Michael Jeffrey Norton
Hearing Site: Denver, CO
| | |
| 20-00922 | 07/08/2021 | Claimant(s): Angie Villemarette, Barbara Belaire, Betty Simon, Bobby Belaire, Brenda Bridges, Celia Musick, Charles Babin, Charles Pope, Charlie Hayek, Craig Nelson, Cynthia Nelson, David Herndon, Dean Simon, Edna Belaire, Frankie Bono, Hazel Decoto, Huey Decoto, Isom Cagle, J. Mothershed, Jimmie Bridges, Joann Herndon, Joyce Cagle, Kathleen Gilmartin, Kenneth Musick, Lennard Belaire, Michael Teague, Millicent Babin, Steven Graham, Susan Lankford, Victoria Guennewig, The Estate of Gerald Brauser, Craig D. Nelson IRA, David E. Herndon IRA, Dudley Devore IRA, Frankie Wayne Bono IRA, George M. Glantz IRA, Huey P. DeCoto IRA, James T. Dorris IRA, Joyce E. Cagle IRA, Kenneth Musick IRA, Lennarde J. Belaire IRA, Richard Griswold IRA, Susan Kay Lankford IRA, Thomas Guennewig IRA, Walter J. Eldredge IRA, George M. Glantz Revocable Trust
Claimant Lawyers(s): Donald L. Ferguson
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jeffrey J. Chapman
Arbitrator(s): Synthia L. Taylor, Eric Ross Cromartie, Anisha Kinra
Hearing Site: Dallas, TX
| | $648,543 |
| 20-01118 | 07/08/2021 | Claimant(s): Jose Delgado
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): GWFS Equities.
Respondent Lawyers(s): Ryan Baker
Arbitrator(s): Monica I. Salis
Hearing Site: Boca Raton, FL
| | $0 |
| 20-02475 | 07/08/2021 | Claimant(s): Angelo Pastorino
Claimant Lawyers(s): James G. Morris
Respondent(s): Christopher Miller, Raymond Sun, Trevor Gordon, Sandlapper Securities, Sandlapper Student Housing LLC, Specialized Wealth Management
Respondent Lawyers(s): Cameron S. Matheson, Sylvia M. Scott, Trevor L. Gordon
Arbitrator(s): Steven Gourley, Michael Harrison, Peggy Jane Fisher
Hearing Site: Los Angeles, CA
| | $0 |
| 20-02681 | 07/07/2021 | Claimant(s): Russell McLean
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): David William Hickman
Hearing Site: Portland, OR
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