| 23-01919 | 04/09/2024 | Claimant(s): Cyrus Desai
Claimant Lawyers(s): Meher C. Desai
Respondent(s): William Young, Grove Point Investments
Respondent Lawyers(s): Garry T. Stevens, Jr., Richard A. D'Amura
Arbitrator(s): Christopher M. McMurray, Luba Shur, Kiran Nasir Gore
Hearing Site: Washington, DC
|  | Dismissed by Rule 12206 |
| 22-02272 | 10/11/2023 | Claimant(s): Patrick Hanratty
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers, Jr.
Arbitrator(s): Mark A. Myers
Hearing Site: New Orleans, LA
| | Expungement |
| 22-00692 | 06/01/2023 | Claimant(s): Cheryl Weigel, Executrix
Claimant Lawyers(s): Michael P. Stanton
Respondent(s): Wells Fargo Clearing Services, Robert Cautilli
Respondent Lawyers(s): Jeffery D. Rodgers, Jr.
Arbitrator(s): Guillermo L. Bosch, Arnold Peter Borish, Annya Baskerville
Hearing Site: Philadelphia, PA
| | Expungement |
| 20-00652 | 02/28/2022 | Claimant(s): James W. Miller, Jr.
Claimant Lawyers(s): Stephen O'Donnell
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC, Nicholas King, Paolo Rocca, Strategic Advisers.
Respondent Lawyers(s): Dochtor Kennedy, Kathryn B. Rockwood
Arbitrator(s): Theodore W. Wrobleski, Philip C. Stahl, James William Hoag
Hearing Site: Chicago, IL
| | Expungement |
| 19-02271 | 10/16/2020 | Claimant(s): June Glover
Claimant Lawyers(s): Stephen P. Meyer
Respondent(s): Morgan Stanley, Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Abigail Elrod, Jeffery D. Rodgers, Jr., Regina Pepe Martorana
Arbitrator(s): Jeffrey M. Bain, Jane Tam, Anthony Cipiti
Hearing Site: Charleston, WV
| | Settlement |
| 18-03983 | 02/05/2020 | Claimant(s): Janga Aliminati
Claimant Lawyers(s): Lars Kristian Soreide
Respondent(s): Suihock Goy, Ni Advisors
Respondent Lawyers(s): Douglas B. Martin, Jr.
Arbitrator(s): William W. Haskell, Vivian L. Kral, Ronald Chun
Hearing Site: San Francisco, CA
| | $0 |
| 17-02559 | 12/24/2019 | Claimant(s): Robert Liggett, Victoria Liggett, Liggett Investments LLC, Liggett Ventures LLC, Robert G. Liggett, Jr., Custodian, Victoria L. Liggett, Trustee
Claimant Lawyers(s): Dennis J. Levasseur
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Timothy J. Currier, Barry Goldman, Betty R. Widgeon
Hearing Site: Detroit, MI
| | Settlement |
| 18-00446 | 10/01/2019 | Claimant(s): FPJ Investments LLC, Estate of Frank Perrotti, Jr.
Claimant Lawyers(s): David A. Gehn
Respondent(s): David Riccio
Respondent Lawyers(s): David Michael Riccio
Arbitrator(s): Mae A. Brudner, Franklin Sariel Schwerin, Thomas M. Madden
Hearing Site: Hartford, CT
| | $1,300,000 |
| 17-02221 | 12/18/2018 | Claimant(s): George Porter, George W. Porter, Jr., IRA, Porter Living Trust
Claimant Lawyers(s): Stephen D. Wadsworth
Respondent(s): Morgan Keegan & Company
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Mark L. Williams, Mary Elizabeth Skelnik, Joseph Neal Richardson
Hearing Site: Birmingham, AL
| | $221,663 |
| 14-00017 | 12/22/2016 | Claimant(s): Robert McCrary, Robert L. McCrary, IRA
Claimant Lawyers(s): Martin M. Green
Respondent(s): Stifel, Nicolaus & Co.., Neil Harrison, Roger Compton
Respondent Lawyers(s): James C. Browning, Jr., Neil R. Harrison
Arbitrator(s): Robert J. Gryzmala, Joseph R. Soraghan, Albert J. Haller
Hearing Site: St. Louis, MO
| | $25,884 |
