| 22-02026 | 09/30/2024 | Claimant(s): Carol Chaney, E. Chaney, Chaney Family Partnership, Ltd.
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Andrea Joan Douglas, Allan R. Lazor, Joshua Charles Nelson-Archer
Hearing Site: Houston, TX
|  | Expungement |
| 22-02819 | 09/27/2024 | Claimant(s): Daniela Schuvaks-Katz, Robert Alan Katz
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Andrea Steiner, Western International Securities.
Respondent Lawyers(s): Andrea Steiner, Jeffrey K. Compton
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Indianapolis, IN
| | $0 |
| 23-00656 | 09/27/2024 | Claimant(s): Bing Fong Ma, Carol Tam, Charles Karnavy, Christine Tai, Craig Hansen, Hao Fang, Ilaria Turner, John Pink, Julie Chou, Shui-Man Tong, Shun-Yee Perng, Sourav Dutt, Sun Su Qin Baker, Tin-Na Kan
Claimant Lawyers(s): Adam B. Wolf
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Adam Pollet
Arbitrator(s): Darryl J. Horowitt, Grace Sarkis Noubar Seferian, Colleen Honigsberg
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206(b) |
| 23-01580 | 09/27/2024 | Claimant(s): Lisa Posillico
Claimant Lawyers(s): Neil B. Solomon
Respondent(s): Donna Mackay, Morgan Stanley, Sally Ann Weger
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Loretta Yin, Paula Berg, Scott Fairgrieve
Hearing Site: New York, NY
| | Expungement |
| 23-02401 | 09/27/2024 | Claimant(s): Autrey McAdory
Claimant Lawyers(s): Autrey McAdory
Respondent(s): Cash App Investing LLC
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Thomas P. Valenti, Ira Stephen Epstein, Jessica Gibson
Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12504(b) |
| 24-01196 | 09/26/2024 | Claimant(s): Karan Patel
Claimant Lawyers(s): Karan B. Patel
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Gregory G. Gocek
Hearing Site: Minneapolis, MN
| | $88 |
| 23-01680 | 09/26/2024 | Claimant(s): Robert Rosenfeld DDS Retirement Plan
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy Winer
Arbitrator(s): Cheryl H. Agris, Terrance J. Nolan, Jay William Pozenel
Hearing Site: New York, NY
| | $0 |
| 23-01915 | 09/25/2024 | Claimant(s): Donna Berman, Teresa Davis
Claimant Lawyers(s): Donna Jules Berman
Respondent(s): Daniel Pikula, Emerson Equity LLC
Respondent Lawyers(s): Chad Weaver, Jeffrey L. Cox
Arbitrator(s): David P. Slater, Leonard Michael Cusano, Jeremy Attia
Hearing Site: Boca Raton, FL
| | $0 |
| 23-02443 | 09/24/2024 | Claimant(s): Tamera (Tammy) Elkon
Claimant Lawyers(s): Tamera (Tammy) Elkon
Respondent(s): Erin Hooten, James Flynn, Farmers Financial Solutions
Respondent Lawyers(s): Edwin Barkel, Jeff Nicodemus
Arbitrator(s): Arthur H. Geffen, James E. Lane, Lawrence Frederick Ranallo
Hearing Site: Dallas, TX
| | Expungement |
| 23-01188 | 09/23/2024 | Claimant(s): Winifred Botkin, Winifred Botkin Trust
Claimant Lawyers(s): Janis Jannusch
Respondent(s): Stephen Sperling, Wintrust Investments LLC
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Daniel R. Formeller
Hearing Site: Chicago, IL
| | Expungement |
