| 22-01156 | 06/26/2023 | Claimant(s): Kevin Ho
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | |
| 22-01980 | 06/26/2023 | Claimant(s): Christopher Dame
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Steven Meyrich
Hearing Site: Salt Lake City, UT
| | |
| 22-00492 | 06/26/2023 | Claimant(s): Annmarie Ryan
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | Expungement |
| 21-02075 | 06/26/2023 | Claimant(s): Bernard Audet
Claimant Lawyers(s): Matthew R. Major
Respondent(s): New England Securities Corporation
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Alan M. Schankel, John James McGovern, Robin L. Lewis
Hearing Site: Philadelphia, PA
| | |
| 22-02662 | 06/23/2023 | Claimant(s): James Ugobono
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Stuart K. Furman
Hearing Site: San Juan, PR
| | |
| 22-01333 | 06/23/2023 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Joshua Maniscalco
Respondent Lawyers(s): Joshua P. Maniscalco
Arbitrator(s): Samuel Olutola Akeju, Montie G. Grimes, Peter Ntephe
Hearing Site: Houston, TX
| | $641,262 |
| 23-00112 | 06/23/2023 | Claimant(s): Richard Reynolds
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): American Capital Partners
Respondent Lawyers(s): John Gardini
Arbitrator(s): David John Reilly
Hearing Site: New York, NY
| | |
| 22-02766 | 06/23/2023 | Claimant(s): Timothy Hightower
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): Capital Investment Group., WFG Investments.
Respondent Lawyers(s): David Williams, Mickey B. Wright
Arbitrator(s): Thomas W. Allen
Hearing Site: Dallas, TX
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| 22-01579 | 06/22/2023 | Claimant(s): Carlos Pou
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
| 22-02327 | 06/22/2023 | Claimant(s): Jonathan LeVar
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Paul Allan Massaro
Hearing Site: Jersey City, NJ
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