| 20-03033 | 05/21/2021 | Claimant(s): Mohammed Sami
Claimant Lawyers(s): Mohammed Sami
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
|  | $0 |
| 20-04134 | 05/21/2021 | Claimant(s): Urban Financial Advisory Corporation
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Mesirow Financial.
Respondent Lawyers(s): James L. Kopecky
Arbitrator(s): Daniel R. Formeller
Hearing Site: Chicago, IL
| | $300 |
| 20-02090 | 05/20/2021 | Claimant(s): Kelley Slaught
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Paul King
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 20-02567 | 05/20/2021 | Claimant(s): Justin Montandon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausemeier
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | |
| 20-02781 | 05/20/2021 | Claimant(s): Jacob Allen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Tracy L. Allen
Hearing Site: St. Louis, MO
| | |
| 20-02873 | 05/20/2021 | Claimant(s): Jeffrey Rogers
Claimant Lawyers(s): Brian Luther
Respondent(s): QA3 Financial Corp., United Planners' Financial Services Of A
Respondent Lawyers(s): Dave Hauer, Stephen Wild
Arbitrator(s): Martin M. Van Luven
Hearing Site: Orlando, FL
| | |
| 20-03010 | 05/20/2021 | Claimant(s): Joshua Williamson
Claimant Lawyers(s): Chelsea Masters
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 20-03734 | 05/20/2021 | Claimant(s): Craig McFadden, Heidi Faber-McFadden, beneficiary, IRA FBO Craig W. McFadden
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Alexander A. Truitt
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Milwaukee, WI
| | $0 |
| 20-03792 | 05/20/2021 | Claimant(s): Charles Fremont
Claimant Lawyers(s): Charles L. Fremont
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): James Richard Carlson, Susanne J. Hollander, Mark A. Frankel
Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12206 |
| 20-01845 | 05/19/2021 | Claimant(s): Edward Blacka
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Kyle B. Osting
Arbitrator(s): John James McGovern
Hearing Site: Pittsburgh, PA
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