| 22-02024 | 10/24/2023 | Claimant(s): Scott Parker, Sharon Parker
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Sherry R. Wetsch, Lynne M. Gomez, Ashika S Brinkley
Hearing Site: Houston, TX
|  | Expungement |
| 23-01679 | 10/23/2023 | Claimant(s): Richard Davidson
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Steven Hirata
Respondent Lawyers(s): Steven Kiyoto Hirata
Arbitrator(s): David I. Levine
Hearing Site: San Francisco, CA
| | $984,600 |
| 23-01583 | 10/20/2023 | Claimant(s): Mariano Tancredi
Claimant Lawyers(s): Mariano Tancredi
Respondent(s): Andreas Wochtl, Wells Fargo Clearing Services
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
| | $5,075 |
| 23-01687 | 10/20/2023 | Claimant(s): Tiffiney Brittingham
Claimant Lawyers(s): Tiffiney Taylor Brittingham
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Greg Scanlon
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
| | $0 |
| 22-02159 | 10/20/2023 | Claimant(s): Hyder Cheema
Claimant Lawyers(s): Hyder Cheema
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Christopher M. McMurray
Hearing Site: Washington, DC
| | Dismissed by Rule 12212© |
| 23-00152 | 10/19/2023 | Claimant(s): Jenny Arnot
Claimant Lawyers(s): Jenny Arnot
Respondent(s): Daniel Baldwin, Morgan Stanley
Respondent Lawyers(s): Suzette J. Barnes
Arbitrator(s): Philip Alan Johnson
Hearing Site: Portland, OR
| | $0 |
| 22-00198 | 10/19/2023 | Claimant(s): Elizabeth Darley, Louise Hindert, Martha Jones 1999 GST UA dtd 01/25/99, Martha W. Jones Trust U/A DTD 01/25/99
Claimant Lawyers(s): Jared Levy
Respondent(s): Robert W. Baird & Co. Incorporated, Michael Coombe, Tucker Coombe
Respondent Lawyers(s): Culver V. Halliday, David S. Bloomfield, Robert P. Johnson
Arbitrator(s): Michael L. Lyons, Joseph R Soraghan, David S. Blessing
Hearing Site: Cincinnati, OH
| | $2,658,900 |
| 22-02461 | 10/18/2023 | Claimant(s): Clarissa Stecher, Deb Wanner, Donald Wanner, Jean Wanner, Joe Stecher, Rhonda Scheetz
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Hilary D. Wells
Arbitrator(s): John J. Fitzpatrick, Michael D. Briggs, Richard Beens
Hearing Site: Bismarck, ND
| | $0 |
| 21-02920 | 10/18/2023 | Claimant(s): Erik Kuselias
Claimant Lawyers(s): Brian C. Fournier
Respondent(s): Scott Dorer, Steven Loveall, Securities America.
Respondent Lawyers(s): Brian J. Palmeri, Greg Curley
Arbitrator(s): Samuel H. Chorches, Thomas M. Madden, Andrew Stephen Knott
Hearing Site: Hartford, CT
| | $0 |
| 20-01625 | 10/17/2023 | Claimant(s): Prakash Shukla
Claimant Lawyers(s): Michael J. Sullivan
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Stephen M. Acerra, Denise L. Presley, Jeremy M. Bloomenthal
Hearing Site: Boston, MA
| | Expungement |
