| 21-01800 | 08/24/2023 | Claimant(s): Rudolph Baker
Claimant Lawyers(s): Rudolph Baker
Respondent(s): E*Trade Securities LLC, TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Christopher A. Stecher, John Bersin
Arbitrator(s): Joseph C. Watson, W. Alex King, Richard Andrew Roupoli
Hearing Site: Los Angeles, CA
|  | $0 |
| 20-01074 | 08/22/2023 | Claimant(s): Robert A. Garvy Restated Revocable Trust
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-00075 | 08/22/2023 | Claimant(s): Allen Chick
Claimant Lawyers(s): David Vermont
Respondent(s): John Slipek, Joseph Amato, Nick Filippo, Alexander Capital, L.P.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Peter Khalil
Hearing Site: Portland, OR
| | Expungement |
| 22-01356 | 08/22/2023 | Claimant(s): Fondo De Inversion Privado FRC, Inversiones Don Fernando Spa
Claimant Lawyers(s): Jason P. Gottlieb
Respondent(s): CGIS Securities LLC
Respondent Lawyers(s): Curtis Carlson
Arbitrator(s): William Kent Brown, Ellen J. Abrams, Michael Adam Gross
Hearing Site: Boca Raton, FL
| | $0 |
| 22-02855 | 08/22/2023 | Claimant(s): Kenneth Smith IRA
Claimant Lawyers(s): Chase Carlson
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Kenneth R. Starr, Michael Anthony Barrella, Kevin M Schmitt
Hearing Site: Tampa, FL
| | Expungement |
| 21-00203 | 08/21/2023 | Claimant(s): Karen Busch
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Benjamin L. Anderson, Howard Alan Grinsberg, Qiana Martin
Hearing Site: New York, NY
| | $1,800,000 |
| 23-01049 | 08/21/2023 | Claimant(s): Robert Nanos
Claimant Lawyers(s): Robert L. Nanos
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Edward A. Trabin
Hearing Site: Las Vegas, NV
| | $25 |
| 21-01866 | 08/16/2023 | Claimant(s): Clifford Capps, Mary Martin, Patricia Capps, Raymond Capps, Terry Wheeler, Wanda Wheeler
Claimant Lawyers(s): Courtney C. Gipson
Respondent(s): Norman McNeill, McNeill Financial Advisory
Respondent Lawyers(s): K. Phillip Luke
Arbitrator(s): J. Wesley Romine, Kearney Dee Hutsler, Michael Odom
Hearing Site: Birmingham, AL
| | $674,902 |
| 22-02970 | 08/16/2023 | Claimant(s): William Durrant
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Esther Iglesias, Lucio Ojeda, Maria Ojeda
Respondent Lawyers(s): Esther Iglesias, Lucio Ojeda, Maria Ojeda
Arbitrator(s): Kathy A. Tatone, Thomas J. Patka, Caroline Josephine Welsh
Hearing Site: Tampa, FL
| | Expungement |
| 23-00190 | 08/15/2023 | Claimant(s): Eduardo Smith
Claimant Lawyers(s): Guillermo J. Silva-Wiscovich
Respondent(s): First Southern
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Steven Gerard Goerke
Hearing Site: San Juan, PR
| | $300 |
