| 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 |
| 22-02977 | 07/11/2023 | Claimant(s): Linda O'Connor
Claimant Lawyers(s): Linda O'Connor
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): Ronald Citron, Annamaria Boccia Smith, Edward W. Morris
Hearing Site: New York, NY
| | Dismissed by Rule 12504 |
| 21-02879 | 06/08/2023 | Claimant(s): Roger Squires
Claimant Lawyers(s): Roger B. Squires
Respondent(s): Laidlaw & Company (UK) Ltd.
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): Morton S. Bunis, Edward W. Morris, Stefan Savic
Hearing Site: New York, NY
| | $0 |
| 22-01166 | 06/05/2023 | Claimant(s): Timothy Hladik
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Edward W. Morris, Peter M Cosel, Jud Perkins
Hearing Site: Providence, RI
| | Dissmissed by Rule 12206/12504 |
| 21-01974 | 05/30/2023 | Claimant(s): Betty Sprague, Eric Orkin
Claimant Lawyers(s): Meghan L. McElligott
Respondent(s): Triad Advisors LLC, Lion Street Financial
Respondent Lawyers(s): Gerry Kowalski, Kathy M. Klock
Arbitrator(s): Edward W. Morris, Howard N. Gorney, Sean Michalski
Hearing Site: Manchester, NH
| | Expungement |
| 21-00467 | 04/13/2023 | Claimant(s): Donald Cariati, Carmine Cariati Rev Trust Feb 16, 2017
Claimant Lawyers(s): Richard Slavin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): Edward W. Morris, Christopher Meisenkothen, Jud Perkins
Hearing Site: Hartford, CT
| | $0 |
| 21-02847 | 10/25/2022 | Claimant(s): Sean Barker
Claimant Lawyers(s): Alexander Darr
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Frank Cuccio
Arbitrator(s): Samuel H. Chorches, John W. Eichleay, Edward W. Morris
Hearing Site: Augusta, ME
| | $0 |
| 21-00011 | 07/06/2022 | Claimant(s): Mark Levy
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): NTB Financial Corporation
Respondent Lawyers(s): Frank W. Visciano
Arbitrator(s): Edward W. Morris, Melanie Barr-Brooks, Robert J. Kirkner
Hearing Site: Wilmington, DE
| | $0 |
| 21-01626 | 06/14/2022 | Claimant(s): Kristina Watts
Claimant Lawyers(s): J. Allen Holland
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Edward W. Morris, John George Neylon, David S Godkin
Hearing Site: Boston, MA
| | $185,238 |
| 19-00941 | 05/09/2022 | Claimant(s): Elizabeth Berlin, Stephen Berlin
Claimant Lawyers(s): James L. Kauffman
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Robert E. Anderson, Edward W. Morris, William Stephen Mailander
Hearing Site: Wilmington, DE
| | Expungement |
