19-01596 | 01/10/2020 | Claimant(s): Laura Nasatir, Laura M. Nasatir Roth IRA, Laura M. Nasatir SEP IRA, Laura M. Nasatir 401K, Laura M. Nasatir Defined Benefit Plan, Laura M. Nasatir Trust Claimant Lawyers(s): Richard A. D'Amura Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Anthony J. Borrelli Arbitrator(s): David I. Levine Hearing Site: San Francisco, CA
| | $0 |
18-03763 | 01/09/2020 | Claimant(s): Lauren Flynn Claimant Lawyers(s): Lauren Terri Flynn Respondent(s): Voya Financial Advisors. Respondent Lawyers(s): Steven Mellen Arbitrator(s): Ian S. Greig, James A. Hayes, Mauricio Arcadier Hearing Site: Columbia, SC
| | Dismissed by Rule 12212(c) |
19-01509 | 01/09/2020 | Claimant(s): Gale Penn, Robert Penn Claimant Lawyers(s): Gary Menzer Respondent(s): Anthony Hobson, Next Financial Group. Respondent Lawyers(s): David A. Baugh Arbitrator(s): Mark L Miller, Steven M. Bierig, Raymond P. Buschmann Hearing Site: Chicago, IL
| | Dismissed by Rule 12206/12504 |
17-02420 | 01/07/2020 | Claimant(s): Sandra Alford, Sandra C. Alford Revocable Living Trust Claimant Lawyers(s): Richard B. Fosher Respondent(s): National Planning Corporation Respondent Lawyers(s): Jason A. Kempf Arbitrator(s): Philip J. Glick, Albert J. Haller, Joshua Eric Lubatkin Hearing Site: St. Louis, MO
| | $2,629,270 |
17-00001 | 01/07/2020 | Claimant(s): Gigi Jordan Claimant Lawyers(s): Daniel Kornstein Respondent(s): Rose Cohen, J.P. Morgan Securities Inc Respondent Lawyers(s): Eugene Small Arbitrator(s): Howard L. Sobel, Martin A. Edelstein, Jill I. Gross Hearing Site: New York, NY
| | Lack Jurisdiction (Rule 12200/12201) |
19-00806 | 01/07/2020 | Claimant(s): Lyudmila Lankin Claimant Lawyers(s): Lyudmila Lankin Respondent(s): Interactive Brokers LLC Respondent Lawyers(s): Mark G. Materna Arbitrator(s): Edward W. Morris Hearing Site: New York, NY
| | $0 |
17-03377 | 01/06/2020 | Claimant(s): Danya Heroman Claimant Lawyers(s): Michael M. Thompson Respondent(s): Robert Smith, Cetera Investment Services LLC Respondent Lawyers(s): Benjamin J. Biard Arbitrator(s): Frank M Romano Hearing Site: New Orleans, LA
| | Dismissed by Rule 12212(c) |
18-03519 | 01/06/2020 | Claimant(s): Barbara Remer, Vickie Kraszewski Claimant Lawyers(s): W. Jay Brown Respondent(s): Kriss Klaus, PFS Investments Inc. Respondent Lawyers(s): Raymond W. Henney Arbitrator(s): Tracy L. Allen, Erane C. Washington-Kendrick, Jo A. Irby Hearing Site: Detroit, MI
| | $0 |
18-03771 | 01/03/2020 | Claimant(s): Randall Gale Claimant Lawyers(s): Jeffrey S. Eisenberg Respondent(s): Geoffrey Garratt Respondent Lawyers(s): Geoffrey Garratt Arbitrator(s): James R. Collins Hearing Site: Boston, MA
| | $75,023 |
18-01476 | 01/03/2020 | Claimant(s): Willie Mae Kalisek Claimant Lawyers(s): Jason E. Williams Respondent(s): Edward Jones, Ruben Hope Respondent Lawyers(s): Donald R. Littlefield Arbitrator(s): James A. Parker, Malcolm Edwin Whittaker, Jeffrey R. Jury Hearing Site: Houston, TX
| | $0 |