| 20-03420 | 05/12/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Jameson Shin
Respondent Lawyers(s): Jameson Jee Won Shin
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | |
| 21-00289 | 05/12/2021 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric D. Raphan
Respondent(s): James Reittinger
Respondent Lawyers(s): James William Reittinger
Arbitrator(s): Peter Ordower
Hearing Site: Columbus, OH
| | |
| 20-02239 | 05/12/2021 | Claimant(s): Janet Buggeln, Janet F. Buggeln Liv Trt u/a/d 5/12/17
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): George W. Harding, Aryka Steele Radke, Richard Kent Mahrle
Hearing Site: Phoenix, AZ
|  | Expungement |
| 21-00337 | 05/12/2021 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Mohammad Khan
Respondent Lawyers(s): Mohammad Ghelich Khan
Arbitrator(s): Linda J. Baer
Hearing Site: Manchester, NH
| | $0 |
| 20-02614 | 05/11/2021 | Claimant(s): Michael Meixler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Donald Dreyfus
Hearing Site: Phoenix, AZ
| | |
| 20-03054 | 05/11/2021 | Claimant(s): Gerald Sharpe
Claimant Lawyers(s): Gregg J. Breitbart
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Martin R. Cramer
Hearing Site: Jersey City, NJ
| | |
| 19-02695 | 05/11/2021 | Claimant(s): Frank Lestarchick
Claimant Lawyers(s): Mark E. Margiotta
Respondent(s): Alfonso Gialanella, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): David S. Billet
Hearing Site: Jersey City, NJ
| | $43,225 |
| 20-00456 | 05/11/2021 | Claimant(s): Estate of Charles Hunter Montgomery, Dec, The Montgomery Children's 1998 Trust
Claimant Lawyers(s): William Fred Hagans
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Thomas A. Martin, Michael Hendryx, Jonathan Charles Day
Hearing Site: Houston, TX
| | $172,813 |
| 20-04119 | 05/11/2021 | Claimant(s): Niknam Family Trust
Claimant Lawyers(s): B. Brian Paya
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Adam A. Brown
Arbitrator(s): Kenneth E. Owen
Hearing Site: Los Angeles, CA
| | $0 |
| 19-03303 | 05/10/2021 | Claimant(s): Eric Silvestre
Claimant Lawyers(s): Harris Freedman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
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