| 20-02233 | 03/26/2021 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Eric M Steinert
Respondent(s): Katie Blando
Respondent Lawyers(s): Katie R Blando
Arbitrator(s): Gunnar Thowsen, Kevin K. Forrester, Randall B Christison
Hearing Site: San Diego, CA
| | |
| 20-02513 | 03/26/2021 | Claimant(s): Steven Kennedy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Johan E. Tatoy
Arbitrator(s): Denise L. Quarles
Hearing Site: Albany, NY
| | |
| 20-02699 | 03/26/2021 | Claimant(s): David Brown
Claimant Lawyers(s): Chelsea Masters
Respondent(s): LPL Financial LLC, Park Avenue Securities LLC
Respondent Lawyers(s): Kristin Wynne, Sara B. Davis
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 20-03077 | 03/26/2021 | Claimant(s): William Ho
Claimant Lawyers(s): Stephan Louviere
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): John F. Burns
Hearing Site: Columbus, OH
| | |
| 19-02371 | 03/26/2021 | Claimant(s): Barbara Conover
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Shelley Simons Korch, John N. Greer, Elizabeth Varner
Hearing Site: Baltimore, MD
|  | Expungement |
| 16-02338 | 03/26/2021 | Claimant(s): Carlos Bolet Alvarez
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Santander Securities
Respondent Lawyers(s): Diego Murgia-Diaz
Arbitrator(s): Robert J. Gregory, Julius P. Terrell, Melissa Nycole Hearon
Hearing Site: San Juan, PR
| | Dismissed by Rule 12212(c) |
| 19-03250 | 03/26/2021 | Claimant(s): Benjamin Capdevielle, Brandon Ehrlich, Bryce Dawson, Carol Hilton, Carrie Miller, Christine Eason, David Miller, Diana Naramore, Emilie Dawson, Eugene Rogers, Gary Wyatt, Holly Robinson, Ian Hilton, Irene Leon Guerrero, Joann LaCanfora, Martha Wyatt, Nadine Dawson, Natasha Ehrlich, Pamela Apt, Patricia Hamilton, Peter Leon Guerrero, Robert LaCanfora, Shannon McQuery, Stephen Apt, Stephen Naramore, Tony Eason
Claimant Lawyers(s): John A. Bender, Timothy B. Fitzgerald
Respondent(s): Charles Schwab & Co.., Interactive Brokers LLC
Respondent Lawyers(s): David Luger, Kevin H. Lewis
Arbitrator(s): Katherine H. O'Neil, David Gonzalez, Frederick Allan Kaseburg
Hearing Site: Seattle, WA
| | $4,646,560 |
| 20-02078 | 03/26/2021 | Claimant(s): Joanne Gilrain
Claimant Lawyers(s): Joanne C. Gilrain
Respondent(s): Brian Kerwin, RBC Capital Markets LLC
Respondent Lawyers(s): Roxanna V. Gonzalez
Arbitrator(s): Denise L. Quarles
Hearing Site: Jersey City, NJ
| | $163 |
| 20-00990 | 03/25/2021 | Claimant(s): Charles Stanton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Annette K. Ebright
Arbitrator(s): Robert M Stein
Hearing Site: Seattle, WA
| | |
| 20-01330 | 03/25/2021 | Claimant(s): Gary Tangwall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Jeffrey A. Ziesman
Arbitrator(s): David Steven Paull
Hearing Site: Minneapolis, MN
| | |
