| 22-01995 | 01/11/2024 | Claimant(s): Ivan Goldstein
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawson R. Graves
Arbitrator(s): Nofrey Matthew Fornaro, Sidney Seligman, Richard Gendler
Hearing Site: Boca Raton, FL
|  | Expungement |
| 21-01772 | 01/10/2024 | Claimant(s): Lindsay Francis, Maggie Browney, Wayne D. Miller Revocable Living Trust
Claimant Lawyers(s): Cortney S. Alexander
Respondent(s): Eric Hynden, UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Cassandra Kimberly Ward, Zoana Price, Abiola F Bankole-Hameed
Hearing Site: Atlanta, GA
| | $260,800 |
| 23-02249 | 01/05/2024 | Claimant(s): Simone Varessi
Claimant Lawyers(s): Simone Varessi
Respondent(s): LPL Financial LLC, William Faith
Respondent Lawyers(s): Jon D. Kaplon, William Lawrence Faith
Arbitrator(s): Andrew W. Levin
Hearing Site: Los Angeles, CA
| | $0 |
| 23-00703 | 01/05/2024 | Claimant(s): David Doumith, Nazim and Elsie Doumith Revocable Trust
Claimant Lawyers(s): J. Kurt Kraemer
Respondent(s): Liberty Capital Investment Corporation
Respondent Lawyers(s): Robert S. Banks
Arbitrator(s): Thomas R. Dreiling, Ian Matthew Green, Crystal Rose O'Grady
Hearing Site: Portland, OR
| | $0 |
| 22-02462 | 01/05/2024 | Claimant(s): Ava Naeini
Claimant Lawyers(s): Ava Naeini
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Elliott Finkel, Joseph Winter, Robert Charles Pearman
Hearing Site: Los Angeles, CA
| | $0 |
| 22-02268 | 01/05/2024 | Claimant(s): Tamir Zury
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Gary M. Landau, Richard Carl Smukler, Edward Alexander Jaffe
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-04216 | 01/05/2024 | Claimant(s): Kent Bonvillain, Whitney Guidry
Claimant Lawyers(s): Kevin Conway
Respondent(s): Raymond James & Associates.
Respondent Lawyers(s): George C. Freeman
Arbitrator(s): Maryanne M. Esser, Chris W. Surprenant, William John Sommers
Hearing Site: New Orleans, LA
| | $15,000 |
| 23-01856 | 01/05/2024 | Claimant(s): Roman Raykis
Claimant Lawyers(s): Scott L. Silver
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): Carole Crosby
Hearing Site: Tampa, FL
| | Expungement |
| 23-00999 | 01/04/2024 | Claimant(s): FTI Capital Advisors.
Claimant Lawyers(s): Andrew T. Solomon
Respondent(s): Bird Global.
Respondent Lawyers(s): Clint Johnson
Arbitrator(s): Will Murphy, Robert G. Geeseman, Joseph Galinskie
Hearing Site: Boca Raton, FL
| | $0 |
| 21-02289 | 01/02/2024 | Claimant(s): Justin Naughton
Claimant Lawyers(s): Dennis E. Boyle
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Joseph J. Dougherty, Overman Randolph Rollins, Elizabeth Flannagan Edwards
Hearing Site: Richmond, VA
| | $75,603 |
