| 20-01898 | 06/10/2021 | Claimant(s): Beth Bernstein, Beth A. Bernstein IRA, Bernstein-Jewell Family Living Trust
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Peter J. McElligott
Arbitrator(s): Marc Kalish, William B. Morgan, Garnett Sailor
Hearing Site: Phoenix, AZ
|  | Dismissed by FINRA 12206 |
| 19-02407 | 06/09/2021 | Claimant(s): Jeffry Schneider
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): CIBC World Markets Corp., UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth R. Aylett, Omar Perez
Arbitrator(s): Clive I. Morrick
Hearing Site: New York, NY
| | |
| 20-02723 | 06/09/2021 | Claimant(s): Joshua Klump
Claimant Lawyers(s): Harris Freedman
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Samuel Gilley
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
| | |
| 19-03153 | 06/08/2021 | Claimant(s): Purshe Kaplan Sterling Investments
Claimant Lawyers(s): Lewis S. Fischbein
Respondent(s): Gopi Vungarala
Respondent Lawyers(s): Gopi Krishna Vungarala
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
| | |
| 20-02935 | 06/08/2021 | Claimant(s): David Davis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
| | |
| 20-03987 | 06/08/2021 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew Shapren
Respondent(s): Robert Wong
Respondent Lawyers(s): Robert T. Wong
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 19-03332 | 06/08/2021 | Claimant(s): Martin Kaplan
Claimant Lawyers(s): Kyle M. Kulzer
Respondent(s): Next Financial Group.
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s): John Francis Markuns, Paula M. Bagger, Gail Sillman
Hearing Site: Boston, MA
| | Expungement |
| 20-01635 | 06/07/2021 | Claimant(s): Christ Baltas, Michael Chakos, Vincent Mangone
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Worden Capital Management LLC, Jamie Worden
Respondent Lawyers(s): William M. Dailey
Arbitrator(s): Robert J. Kheel, Harvey Barrison, Jerome Bernard McDevitt
Hearing Site: New York, NY
| | |
| 20-02705 | 06/07/2021 | Claimant(s): Pamela Middleton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MSI Financial Services.
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | |
| 20-02719 | 06/07/2021 | Claimant(s): Ming Chung
Claimant Lawyers(s): Erika Binnix
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Samantha D. Parrish
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
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