| 19-01633 | 04/13/2022 | Claimant(s): Jeanne Capasse, Thomas Capasse
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): Michael Jaffe, Edmund Timothy Donovan, Sean Farrow
Hearing Site: New York, NY
|  | Expungement |
| 20-00386 | 04/13/2022 | Claimant(s): Jake Phillips, Rebecca Slavin-Phillips
Claimant Lawyers(s): Jake Phillips
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert Serota
Arbitrator(s): Guillermo L. Bosch, Gail Marie Noel, M. Melvin Shralow
Hearing Site: Philadelphia, PA
| | Expungement |
| 20-03312 | 04/13/2022 | Claimant(s): Clinton Anderson
Claimant Lawyers(s): Christopher W. Patton
Respondent(s): Blair Horne, Morgan Stanley
Respondent Lawyers(s): John Bersin
Arbitrator(s): Andrea U. Calve, Lawrence R. Maxwell, Will Pryor
Hearing Site: Dallas, TX
| | $211,810 |
| 21-01966 | 04/12/2022 | Claimant(s): Tawauna Garel
Claimant Lawyers(s): Tawauna Garel
Respondent(s): Aspiration Financial LLC
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | $0 |
| 21-00303 | 04/11/2022 | Claimant(s): Greg Zinser, on behalf of his IRA
Claimant Lawyers(s): Samuel Benton Edwards
Respondent(s): LPL Financial LLC, Rodd Miller
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Robert E. Jenks
Hearing Site: San Diego, CA
| | Expungement |
| 20-03938 | 04/11/2022 | Claimant(s): Theresa Panza
Claimant Lawyers(s): Theresa Panza
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): David S. Billet, Lourdes Gomez, Daniel Engelstein
Hearing Site: New York, NY
| | $0 |
| 21-01181 | 04/11/2022 | Claimant(s): Chad Durrance, Leslie Durrance
Claimant Lawyers(s): Daniel P. Dietrich
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Andrew J. Melnick
Arbitrator(s): James R. Augustine, Jacquelyn M. Shannon, Philip L. Manczak
Hearing Site: Tampa, FL
| | $214,640 |
| 17-02703 | 04/08/2022 | Claimant(s): Richard Zane, Zane Family Trust U/A DTD 10/24/1997
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Anthony Duckworth, Glen Haddock
Respondent Lawyers(s): Gerard J. Kowalski
Arbitrator(s): Kip C Lubcke, Kenneth J. Horowitz, Stephen L. Lister
Hearing Site: Jersey City, NJ
| | Expungement |
| 20-00861 | 04/08/2022 | Claimant(s): George Lyles
Claimant Lawyers(s): George W. Lyles
Respondent(s): Jacob Mohr, Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Peter Pound, Thomas M. McHugh
Arbitrator(s): Robert Rosen, David L. Moran, Adam Michael Porter
Hearing Site: Las Vegas, NV
| | Expungement |
| 21-01453 | 04/08/2022 | Claimant(s): Ronnie and Dawn Doster Revocable Trust
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Brett Whitten, UBS Financial Services Inc.
Respondent Lawyers(s): Anastasia B. Wohar
Arbitrator(s): David I. Levine
Hearing Site: San Francisco, CA
| | $0 |
