| 22-00645 | 11/13/2023 | Claimant(s): Thomas Sowers
Claimant Lawyers(s): Thomas S. Sowers
Respondent(s): Morgan Stanley, Geoffrey Korwan
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): Jim Geiger, Michael J. Ahlstrom, Todd B. Johnson
Hearing Site: Charleston, WV
|  | $0 |
| 23-00137 | 11/10/2023 | Claimant(s): Frances Norman, Joe Norman, Joyce Bowman, Rita Manuel, William Bowman, Frances D. Norman IRA, Joe Bill Norman IRA, Joyce T. Bowman IRA, Rita Manuel IRA, William G. Bowman IRA
Claimant Lawyers(s): Matt Wolper
Respondent(s): James Woods, Oppenheimer & Co.., Julie Jones
Respondent Lawyers(s): James Wallace Woods, Julie Adelle Jones, William E. Mahoney
Arbitrator(s): James Michael Belk, Daniel F. Piar, Sharon Lanette Ervin
Hearing Site: Charlotte, NC
| | $0 |
| 22-00277 | 11/10/2023 | Claimant(s): Brian Merriam, Judith Merriam
Claimant Lawyers(s): George J. Szary
Respondent(s): Morgan Stanley, Jeffrey Hollander
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): Linda A. Cotton, Jennifer L. Bliss, Thomas M. Madden
Hearing Site: Albany, NY
| | $200,000 |
| 22-00677 | 11/10/2023 | Claimant(s): Robert Hamilton, Robert J. Hamilton IRA
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Louis J. Weber, Karen Roberts Washington, Joseph A. Vicario
Hearing Site: Dallas, TX
| | $0 |
| 22-01471 | 11/09/2023 | Claimant(s): Jessie Wheat
Claimant Lawyers(s): Nicholas H. Berg
Respondent(s): LPL Financial LLC, William Poulter
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Jo-Marie Lisa, Brian James Tagtmeier, Nadine Michele Ramsey
Hearing Site: New Orleans, LA
| | Expungement |
| 23-00555 | 11/08/2023 | Claimant(s): Rocco Carriero
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Michael Langella, Nancy Dubin
Respondent Lawyers(s): Michael S. Langella, Nancy Dubin
Arbitrator(s): Ann C. Northern, Damien Bosco, Sofia Balile
Hearing Site: New York, NY
| | Expungement |
| 21-01965 | 11/08/2023 | Claimant(s): Julie O'Rourke
Claimant Lawyers(s): Pierre Ciric
Respondent(s): Morgan Stanley, Kathleen Entwistle, UBS Financial Services Inc.
Respondent Lawyers(s): Amanda Parisi, Anastasia B. Wohar, David I. Hantman
Arbitrator(s): Oliver W. Williams, Andrew M. Schmertz, Richard Gary Stelnik
Hearing Site: New York, NY
| | Expungement |
| 20-01090 | 11/07/2023 | Claimant(s): Olga Gorodetsky, Yuri Gorodetsky
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Garry T. Stevens
Arbitrator(s): Michael J. Meeusen, Joan M. Esserman, Mary Carmen Fontana
Hearing Site: St. Louis, MO
| | $135,678 |
| 22-01908 | 11/06/2023 | Claimant(s): Janice Mecca, Laurence Brown, Robert Mecca, Brown Family Maintenance Trust, Brown Revocable Trust, Donald M Brown Income Provider Trust
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ages Financial Services, Ltd.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Andrea J. Goldman, Peter M Cosel, Stephen James McLaughlin
Hearing Site: Boston, MA
| | $246,114 |
| 22-00501 | 11/06/2023 | Claimant(s): Disruptive Ventures
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Erika Mckiernan, Greg Brogger, Forge Securities LLC
Respondent Lawyers(s): Daniel Zinman, David A. Kotler
Arbitrator(s): Peter A. Goldman, Laura Carraher, Ira A. Auerbach
Hearing Site: New York, NY
| | Expungement |
