| 20-02555 | 12/28/2021 | Claimant(s): Cheryl E. Amyx Living Trust U/A 11/7/05
Claimant Lawyers(s): W. Scott Greco
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca K. Lindahl
Arbitrator(s): Sheila D. Collins, Matthew Stephen Duchesne, Francis Henry Dong
Hearing Site: Washington, DC
|  | $299,899 |
| 20-00839 | 12/28/2021 | Claimant(s): Bruce Rogers, Kent Rogers
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Dinosaur Financial Group, L.L.C
Respondent Lawyers(s): M. William Munno
Arbitrator(s): Amelia F. Adams, Richard W. Dissen, Allen M. Kerpan
Hearing Site: Louisville, KY
| | $0 |
| 21-00369 | 12/28/2021 | Claimant(s): Fibonacci Capital
Claimant Lawyers(s): Frank T.M. Catalina
Respondent(s): Andrew Lewis, Sanctuary Securities.
Respondent Lawyers(s): Christopher S. Stake
Arbitrator(s): Larry A. Kimmel, Judith C. Zerden, Julian F. Santos
Hearing Site: New York, NY
| | $40,789 |
| 21-01660 | 12/28/2021 | Claimant(s): Arec Simeri
Claimant Lawyers(s): Nathan C. Volheim
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Adam Michael Porter
Hearing Site: Los Angeles, CA
| | $63 |
| 21-01347 | 12/23/2021 | Claimant(s): Elizabeth Hope
Claimant Lawyers(s): Elizabeth Hope
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Mimi B. Osiason
Hearing Site: Jacksonville, FL
| | Expungement |
| 21-02220 | 12/22/2021 | Claimant(s): Samantha Flores
Claimant Lawyers(s): Samantha Flores
Respondent(s): Aspiration Financial LLC
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $2,500 |
| 19-03148 | 12/22/2021 | Claimant(s): Scort, C.A.
Claimant Lawyers(s): Lars Soreide
Respondent(s): Morgan Stanley, Paquita Holder
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Mark C. Perry, Daniel Joseph Chiodo, Mary C. Walsh
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-01009 | 12/22/2021 | Claimant(s): Cooperativa De Ahorro Y Credito Jayuya
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Richard James Igou, Hiram Lee Tanner, Hector R Lopez-Garcia
Hearing Site: San Juan, PR
| | Expungement |
| 20-03445 | 12/22/2021 | Claimant(s): Joel Barton, Suzanne Fisk, Estate of Joel R. Barton Jr.
Claimant Lawyers(s): William J. Garrison
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Putz
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Daniel J. Pagnano, Jeffrey R. Pendergraft, Michael James Barton
Hearing Site: Houston, TX
| | Expungement |
| 21-00686 | 12/22/2021 | Claimant(s): Ronald Waselenchuk
Claimant Lawyers(s): Teresa Verges
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Irisa Chen
Arbitrator(s): Andrea R. Jacobs
Hearing Site: Boca Raton, FL
| | Expungement |
