| 23-01816 | 05/21/2024 | Claimant(s): Peter Darnell, Randi Gollin
Claimant Lawyers(s): Jessica A. Murzyn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Josefa Antonia Sicard-Mirabal, John Franklin Udochi, Anjelica Cappellino
Hearing Site: New York, NY
|  | Expungement |
| 23-00211 | 05/01/2024 | Claimant(s): Christina Ludvigsen, Christina Ludvigsen IRA (1107), Christina Ludvigsen IRA (3283)
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Frank Wu, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Allan N. Taffet, Edmund Siejka, John Franklin Udochi
Hearing Site: New York, NY
| | $7,440 |
| 22-01838 | 11/20/2023 | Claimant(s): Harvey Silver, The Estate of Gladys Silver
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): E*Trade Securities LLC, TD Ameritrade.
Respondent Lawyers(s): Frank J. Cuccio, Joseph E. Floren
Arbitrator(s): Elizabeth Gilbert, Edward W. Morris, John Franklin Udochi
Hearing Site: New York, NY
| | $440 |
| 21-01613 | 05/27/2022 | Claimant(s): Yulii Bogatyrenko
Claimant Lawyers(s): David Freniere
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): John Franklin Udochi
Hearing Site: New York, NY
| | $0 |
| 14-02932 | 05/26/2017 | Claimant(s): DGP, The Donald G. Partrick, Sr. 2012 Irrevoc, The Partrick Family 2012 Irrevocable Tru
Claimant Lawyers(s): Thomas J. McNamara
Respondent(s): Christopher Walkley, Morgan Stanley
Respondent Lawyers(s): Agnesa Mahmudi
Arbitrator(s): William G. Binckes, Camille S. Cooper, John Franklin Udochi
Hearing Site: New York, NY
| | Expungement |
| 10-00637 | 03/09/2012 | Claimant(s): Bristol Investment Fund, Ltd.
Claimant Lawyers(s): Thomas J. Fleming
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David J. Libowsky
Arbitrator(s): Christine Costigan, Lowell D. Johnston, John Franklin Udochi
Hearing Site: New York, NY
| | $0 |
| 09-00795 | 04/04/2011 | Claimant(s): Joseph Neira
Claimant Lawyers(s): Gary N. Moss
Respondent(s): Michael Hartzman, Randi Mason, Bristol Financial Services., J.P. Morgan Clearing Corp., Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Steven B. Feigenbaum, Thomas Vays
Arbitrator(s): Judith E. Gross, John Franklin Udochi, Martin A. Edelstein
Hearing Site: New York, NY
| | Expungement |
