| 22-01789 | 07/03/2023 | Claimant(s): Pamela Borders, Pamela Joy Borders Regular Marital Trust
Claimant Lawyers(s): Robert W. Pearce
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kendra S. Campe
Arbitrator(s): Mary Elizabeth Skelnik, Michael Wayne Johnston, Lena Levario
Hearing Site: Dallas, TX
|  | $532,846 |
| 22-01862 | 07/03/2023 | Claimant(s): Grace Stavalo
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Veronica Ann Williams, Paul David Hayes, Bradley E Greenberg
Hearing Site: Jersey City, NJ
| | $0 |
| 22-00864 | 06/30/2023 | Claimant(s): David Soble
Claimant Lawyers(s): John E. Sutherland
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Gene M. Bauer, Michael P. Breton, Thomas M. Madden
Hearing Site: Boston, MA
| | $0 |
| 22-00379 | 06/30/2023 | Claimant(s): Vukich Family Trust U/A Dated 07/17/2003
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Hulley, Richard Sanders
Respondent Lawyers(s): Kelly L. Doyle
Arbitrator(s): Barbara M. Zak, Eric Gad Forster, Jack R. Goetz
Hearing Site: Los Angeles, CA
| | Expungement |
| 21-00090 | 06/29/2023 | Claimant(s): Ralph Gatto Roth IRA, Ralph and Vicki Gatto Living Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kristine R. Thomson
Arbitrator(s): Minnie Loo, Daniel M. Yamshon, Lawrence R. Mills
Hearing Site: San Francisco, CA
| | Expungement |
| 21-03069 | 06/29/2023 | Claimant(s): Mark Mills
Claimant Lawyers(s): Thomas C Allison
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Steven Gerard Goerke, S. Ronald Daniels, Jan Duda Krafczek
Hearing Site: Boca Raton, FL
| | $10,440 |
| 23-00069 | 06/29/2023 | Claimant(s): Jennifer Meier, Sean Cowan
Claimant Lawyers(s): Jennifer Kim Meier, Sean Patrick Cowan
Respondent(s): MainVest.
Respondent Lawyers(s): Nick Mathews
Arbitrator(s): Ronald Harris Kisner
Hearing Site: New York, NY
| | $0 |
| 22-01661 | 06/29/2023 | Claimant(s): Benjamin Rampe
Claimant Lawyers(s): Benjamin Rampe
Respondent(s): Fidelity Brokerage Services LLC, Fidelity Management Trust Company
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Samuel H. Chorches, John M. D'Amico, David S. Godkin
Hearing Site: Providence, RI
| | $440 |
| 23-00249 | 06/27/2023 | Claimant(s): Brian Demere
Claimant Lawyers(s): Brian Bennett Demere
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Edwin J. Buckley
Hearing Site: Atlanta, GA
| | $2,102 |
| 22-01828 | 06/26/2023 | Claimant(s): Robert Gooden, Tonya Gooden
Claimant Lawyers(s): Tonya M. Gooden
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Michael J. Ahlstrom, Cassandra Kimberly Ward, Shaquana Ellison
Hearing Site: Atlanta, GA
| | Dissmissed by Rule 12206 |
