| 22-02707 | 06/16/2023 | Claimant(s): Diane Civetta
Claimant Lawyers(s): Diane Civetta
Respondent(s): Anthony Hollenbeck, E*Trade Securities LLC, Michael Evans
Respondent Lawyers(s): John Bersin
Arbitrator(s): Mary Julia O'Connell
Hearing Site: New York, NY
|  | $300 |
| 22-02343 | 06/16/2023 | Claimant(s): John Moore
Claimant Lawyers(s): John H. Moore
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Baltimore, MD
| | $0 |
| 21-03123 | 06/16/2023 | Claimant(s): BPY Limited, Murchinson LTD, Nomis Bay Limited
Claimant Lawyers(s): David S. Richan
Respondent(s): Cassel Shapiro, Paul Zogala, Robert Eide, Aegis Capital Corp.
Respondent Lawyers(s): Aaron F. Miner, David S. Richan, Richard A. Roth
Arbitrator(s): Peter A. Goldman, Jeffrey Alan Helewitz, Sherman Guo
Hearing Site: New York, NY
| | $0 |
| 22-01826 | 06/13/2023 | Claimant(s): Charles Bolianites
Claimant Lawyers(s): Jonathan R. Voegele
Respondent(s): Steven Busto, PHX Financial.
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Linda J. Baer
Hearing Site: Manchester, NH
| | $9,938 |
| 22-00220 | 06/13/2023 | Claimant(s): Dena Tucker, Estate of Robert P. Tucker
Claimant Lawyers(s): Joseph A. Hourihan
Respondent(s): Jesse Fable, UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Thomas M. Madden
Hearing Site: Hartford, CT
| | $0 |
| 21-02569 | 06/13/2023 | Claimant(s): Jennifer Matheson, Michael Matheson
Claimant Lawyers(s): Michael J. Giarrusso
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael G. Shannon
Arbitrator(s): Cynthia A. DiMarco, Jeanne M. Keefe, Noah Jonathan Hanft
Hearing Site: New York, NY
| | Expungement |
| 23-00217 | 06/12/2023 | Claimant(s): Minjoo Lee
Claimant Lawyers(s): Minjoo Lee
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Mary Mackey
Hearing Site: San Francisco, CA
| | $0 |
| 20-02885 | 06/12/2023 | Claimant(s): Keila Cengiz
Claimant Lawyers(s): Michael M. DiCicco
Respondent(s): Brian Manning, Morgan Stanley
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Julian F. Santos, Sylvia Kaminsky, Emily Diamond
Hearing Site: Jersey City, NJ
| | Expungement |
| 19-01544 | 06/12/2023 | Claimant(s): Dawn Forman
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | $0 |
| 22-01667 | 06/09/2023 | Claimant(s): Jacob Tiab
Claimant Lawyers(s): Jacob Tiab
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Joseph Winter, H. Stuart Waxman, Jeffrey Dwayne Robertson
Hearing Site: Los Angeles, CA
| | $0 |
