| 22-01193 | 11/15/2022 | Claimant(s): Dilek Uzun
Claimant Lawyers(s): Dilek Uzun
Respondent(s): Harry Zwick, JPMSI
Respondent Lawyers(s): Heidi E. VonderHeide, Robert L. Herskovits
Arbitrator(s): Nancy Kramer
Hearing Site: New York, NY
|  | $0 |
| 19-02173 | 11/14/2022 | Claimant(s): Daniel Wallace
Claimant Lawyers(s): Alan Rosca
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael M. Rosensaft
Arbitrator(s): Mary Julia O'Connell, David John Reilly, Eric Goldman
Hearing Site: New York, NY
| | $0 |
| 20-01536 | 11/01/2022 | Claimant(s): Joseph Hardoon
Claimant Lawyers(s): Eliott Berman
Respondent(s): Edward Jones, Janice Hardoon, Thomas D'Arcangelo
Respondent Lawyers(s): David B. Felsenthal, Joseph N. Nguyen
Arbitrator(s): Martin L. Feinberg, Karen Isabel Bedrosian - Richardson, Paul C. Tang
Hearing Site: New York, NY
| | Expungement |
| 21-02810 | 10/20/2022 | Claimant(s): Ariyo Noibi
Claimant Lawyers(s): Ariyo Noibi
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Joseph I. Liebman
Hearing Site: New York, NY
| | $0 |
| 21-02929 | 10/20/2022 | Claimant(s): Margaret Bui-Quan
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Cetera Advisor Networks
Respondent Lawyers(s): Garry T. Stevens
Arbitrator(s): David S. Billet, Timothy Robert Hott, Roger Pierro
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 20-01504 | 10/18/2022 | Claimant(s): Stephen Zaminski
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): Karen J. Orlin, Albert Rizzo, Qiana Martin
Hearing Site: New York, NY
| | $0 |
| 22-00816 | 10/13/2022 | Claimant(s): Joel Ratzker
Claimant Lawyers(s): Joel Ratzker
Respondent(s): Transamerica Capital.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Judith C. Zerden
Hearing Site: New York, NY
| | $0 |
| 19-02385 | 10/07/2022 | Claimant(s): Jonathan Peters
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): Chad Allen, Oppenheimer & Co.., Matthew Platnico, Petar Arizanov
Respondent Lawyers(s): Brian J. Neville, John T. McGuire, Joseph E. Gasperetti
Arbitrator(s): Thomas E. Duggan, Eugene G. P. Byrne, Tip Henderson
Hearing Site: New York, NY
| | Expungement |
| 21-02035 | 09/29/2022 | Claimant(s): MaryAnn Vellone
Claimant Lawyers(s): August M. Iorio
Respondent(s): Nicholas Palumbo
Respondent Lawyers(s): Kevin Galbraith
Arbitrator(s): Fred S. Pieroni, Alice E. Winkler, Robert E. Riccobono
Hearing Site: New York, NY
| | Expungement |
| 20-01270 | 09/21/2022 | Claimant(s): Joyce Moss, Marlo Moss
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
| | Expungement |
