| 19-02809 | 05/10/2022 | Claimant(s): William Metheny
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Network 1 Financial Securities Inc.
Respondent Lawyers(s): Craig A. Riha
Arbitrator(s): Michael J. Meeusen, Joshua Eric Lubatkin, Christopher Allen
Hearing Site: St. Louis, MO
|  | Expungement |
| 19-01461 | 05/10/2022 | Claimant(s): Leslie Miller
Claimant Lawyers(s): Matthew H. Hoy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Leonard Arthur Nelson, Steven Joseph Streen, Robert S. Baran
Hearing Site: Kansas City, MO
| | $1 |
| 20-01732 | 05/09/2022 | Claimant(s): Fortezza Investments, L.P.
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): S. Ronald Daniels, Christopher E. Benjamin, Steven Moore
Hearing Site: Boca Raton, FL
| | $0 |
| 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 |
| 20-02468 | 05/06/2022 | Claimant(s): Janice Compton
Claimant Lawyers(s): Niel Prosser
Respondent(s): Thomas Buck
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Ian S. Greig, Mollie Wagner Neal, Gary E. Marcus
Hearing Site: Memphis, TN
| | $5,216,020 |
| 20-03856 | 05/05/2022 | Claimant(s): Elise Oren, John Oren
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca K. Lindahl
Arbitrator(s): Brian James Tagtmeier, David Aaron DeSoto, Nile Bailey Copeland
Hearing Site: Houston, TX
| | $3,862,630 |
| 22-00854 | 05/05/2022 | Claimant(s): Grant R. Lambert Lim Access TR DTD 12-27
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Dwayne Bullen, Joseph Valdini
Respondent Lawyers(s): Dwayne Jude Bullen, Joseph Francis Valdini
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
| | $1,277,630 |
| 19-03520 | 05/04/2022 | Claimant(s): Abbas Azimi
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Herbert Liberman, Kevin K. Forrester, Randall B Christison
Hearing Site: San Diego, CA
| | Expungement |
| 20-01382 | 05/04/2022 | Claimant(s): BAG Securities Fund, L.P., GovPlus Fund AI, NorCap Diversified Premium Fund, NorCap Equity Plus Fund
Claimant Lawyers(s): David E. Robbins
Respondent(s): Jefferies LLC
Respondent Lawyers(s): Francesca Brody
Arbitrator(s): David A. Schuler, Eric Ross Cromartie, Christopher John Rowland
Hearing Site: Dallas, TX
| | $0 |
| 21-01662 | 05/04/2022 | Claimant(s): Steven Kanowitz
Claimant Lawyers(s): Christine Lazaro
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | $1,731 |
