| 23-00052 | 12/04/2023 | Claimant(s): Wallace Suku
Claimant Lawyers(s): Wallace W. Suku
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Richard E. Lauziere, Peter H. Goldberg, Ronald Kalungi
Hearing Site: Washington, DC
|  | $0 |
| 19-03404 | 03/21/2022 | Claimant(s): Frank B Hannah Sr.
Claimant Lawyers(s): Luke Rommel
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Truitt
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Daniel J. Donovan, Richard E. Lauziere, Tina E. Patterson
Hearing Site: Baltimore, MD
| | Expungement |
| 21-00848 | 08/05/2021 | Claimant(s): Michael Sanzo
Claimant Lawyers(s): Michael Ryan Sanzo
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Shawn J. Gebhardt
Arbitrator(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
| | $300 |
| 18-03653 | 06/11/2019 | Claimant(s): Young Lee
Claimant Lawyers(s): Young S. Lee
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
| | $0 |
| 17-02774 | 02/20/2019 | Claimant(s): Dennis Francy
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Alexander Gorchakov, Nelson Felix, Wilfredo Felix, Primex
Respondent Lawyers(s): Alexander Gorchakov, Michael D. Handelsman
Arbitrator(s): Richard E. Lauziere, Ezio Borchini, John James McGovern
Hearing Site: Baltimore, MD
| | $72,896 |
| 16-00378 | 10/09/2018 | Claimant(s): Jerry Duke
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Ralph Principe, America's Choice Equities LLC
Respondent Lawyers(s): Michael Gilmore
Arbitrator(s): Richard E. Lauziere, Jim Geiger, Joseph J. Dougherty
Hearing Site: Wilmington, DE
| | $0 |
| 15-00709 | 03/29/2017 | Claimant(s): Luis Cummings-Carrero, Caribbean Anesthesia Society
Claimant Lawyers(s): Eric Quetglas-Jordan, Luis E. Minana
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Jaime E. Toro- Monserrate, Lawrence E. Fenster
Arbitrator(s): Richard E. Lauziere, James Sean Healey, Robert Lawrence Ostrov
Hearing Site: San Juan, PR
| | $4,423,180 |
| 14-02331 | 03/24/2017 | Claimant(s): Alba Luz Rodriguez, Venancio Velazquez
Claimant Lawyers(s): Normarie Rodriguez-Perez, Osavldo Carlo
Respondent(s): Anita Brennan, UBS Financial Services Inc., Marina Tudela, UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Linnette Figueroa-Torres, Peter J. Macdonald, Roberto C. Quinones-Rivera
Arbitrator(s): Richard E. Lauziere, Allan R. Lazor, Peter A. Roche
Hearing Site: San Juan, PR
| | Expungement |
| 16-00213 | 08/23/2016 | Claimant(s): Billy Hackworth
Claimant Lawyers(s): Billy T. Hackworth
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Richard E. Lauziere
Hearing Site: Richmond, VA
| | $213 |
| 14-01415 | 08/05/2016 | Claimant(s): Susan Mueller
Claimant Lawyers(s): Dale R. Jensen
Respondent(s): David Thompson, Wall Street Financial Group.
Respondent Lawyers(s): Marni Rae Robin, Michael Schwartzberg
Arbitrator(s): Richard E. Lauziere, Christopher M. McMurray, David R. Johnson
Hearing Site: Richmond, VA
| | $0 |
