| 20-00459 | 02/03/2022 | Claimant(s): Joel D. Zychick, Trustee of GST Trust, Trustee of QTIP Trust
Claimant Lawyers(s): Jeffrey Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Marsha Matson, Robert Steven Haught, Randy Atlas
Hearing Site: Boca Raton, FL
|  | $1,875,640 |
| 21-02458 | 02/02/2022 | Claimant(s): Patricia Mary Taylor Trust
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): Christopher Taylor, Kestra Investment Services
Respondent Lawyers(s): Craig Zafis, Richard A. D'Amura
Arbitrator(s): Thomas E Shuck, Randy R. Maher, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
| 20-03805 | 02/02/2022 | Claimant(s): Maxine Kovalkoski, Paul Kovalkoski
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): LPL Financial LLC, Ronald Paull
Respondent Lawyers(s): Kelsey Vasko, Nancy L. Hendrickson
Arbitrator(s): Peter L. Michaelson
Hearing Site: Jersey City, NJ
| | Expungement |
| 20-03407 | 02/02/2022 | Claimant(s): Joseph McCormick IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): USA Financial Securities Corporation
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Julian F. Santos, Linda J. Baer, Clifford Jacob Pritchard
Hearing Site: Wilmington, DE
| | Expungement |
| 19-03839 | 02/02/2022 | Claimant(s): David Petterson, Lannie Devin, Larry Marple, Michael Shain, Richard Dawalt, Robert Lowman, Robert Reichle, Willard Grummert, Marilyn A. Martinson, Walter Walker Investment Co. Ltd.
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Carmine Berardi, Daniel Marsillo, Michael Leahy, Philip Sparacino
Respondent Lawyers(s): Carmine Anthony Berardi, Daniel Joseph Marsillo, Michael Leahy, Philip Joseph Sparacino
Arbitrator(s): Joseph C. Roberts, Steven Phillip Caplow, Christopher Keay
Hearing Site: Seattle, WA
| | $2,868,580 |
| 21-00127 | 02/02/2022 | Claimant(s): Benjamin Bassi
Claimant Lawyers(s): David B. Vermont
Respondent(s): William Bradley
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): John J. Mager
Hearing Site: Manchester, NH
| | $0 |
| 18-03460 | 02/01/2022 | Claimant(s): David Epstein, Ethan Epstein
Claimant Lawyers(s): Victor Bayata
Respondent(s): Signature Securities
Respondent Lawyers(s): Vincent P. Pozzuto
Arbitrator(s): Roy B. Gonas, Carl Henry Perdue, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 20-03424 | 02/01/2022 | Claimant(s): Kay Akins, Leon Akins
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Robert S. Sugarman, Elena P. Anastasiou, Lisa Sandlow Imber
Hearing Site: Chicago, IL
| | Expungement |
| 20-03416 | 02/01/2022 | Claimant(s): Melinda Whitman
Claimant Lawyers(s): William A. Haddad
Respondent(s): Morgan Stanley, Scott Swaylik
Respondent Lawyers(s): Jeremy Winer
Arbitrator(s):
Hearing Site: Boston, MA
| | $150,000 |
| 21-00429 | 01/31/2022 | Claimant(s): Lisbeth Brod
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Paul J. Burkhart, Stephanie Jeannette Charny, Victor Bernard Gent
Hearing Site: Boca Raton, FL
| | Expungement |
