| 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 |
| 21-01442 | 06/26/2023 | Claimant(s): Jose Roberto Robles Gonzalez and
Claimant Lawyers(s): David R. Chase
Respondent(s): Ocean Financial Services
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Mark C. Perry, Steven N. Ainbinder, Gary Mathew Singer
Hearing Site: Boca Raton, FL
| | Expungement |
| 23-00261 | 06/23/2023 | Claimant(s): Jinsong You
Claimant Lawyers(s): Jinsong You
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kara Moore
Arbitrator(s): Tracy L. Allen
Hearing Site: St. Louis, MO
| | $0 |
| 22-00664 | 06/23/2023 | Claimant(s): Elaine Holland Royster, Joshua Royster, Elaine Holland Royster IRA
Claimant Lawyers(s): Matt Wolper
Respondent(s): Britt Wright, Iris Israel, James Woods, Oppenheimer & Co.., Julie Jones, Michael Mooney, Penny Flippen, Livingston Group Asset Management Compan
Respondent Lawyers(s): Britt Franklin Wright, Iris Cecelia Israel, James Wallace Woods, Jennifer Greene, Julie A. Jones, Michael Jeremiah Mooney, Penny Gail Flippen, William E. Mahoney
Arbitrator(s): Susan L. Luck, Chase Boone Saunders, James Michael Belk
Hearing Site: Charlotte, NC
| | Settlement |
| 22-02974 | 06/23/2023 | Claimant(s): Ian Landicho
Claimant Lawyers(s): Ian I. Landicho
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
| | $0 |
| 21-00247 | 06/22/2023 | Claimant(s): Rance Wallace
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): John James Rubin
Hearing Site: Atlanta, GA
| | Expungement |
| 20-03526 | 06/22/2023 | Claimant(s): Alprime Capital AG, NorCap Absolute Return Fund UCITS
Claimant Lawyers(s): Sam A. Silverstein
Respondent(s): E D & F Man Capital Markets Inc.
Respondent Lawyers(s): LisaMarie Collins
Arbitrator(s): Daniel Robbins, Anna Lascar, Barry Jay Mandel
Hearing Site: New York, NY
| | $0 |
| 22-02948 | 06/21/2023 | Claimant(s): Nancy Everidge
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): Britt Wright, Iris Israel, James Woods, Oppenheimer & Co.., Julie Jones, Michael Mooney, Penny Flippen, Livingston Group Asset Management
Respondent Lawyers(s): Britt Franklin Wright, Iris Cecelia Israel, James Wallace Woods, John J. Woods, Julie Adelle Jones, Michael Jeremiah Mooney, Penny Gail Flippen, William E. Mahoney
Arbitrator(s): Charles L.A. Terreni, Victoria Liccione, Sharon Lanette Ervin
Hearing Site: Charlotte, NC
| | Withdrawn |
| 22-02714 | 06/21/2023 | Claimant(s): James Alonge
Claimant Lawyers(s): James A. Alonge
Respondent(s): Gregory Romes
Respondent Lawyers(s): David Markun
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
| | $213 |
| 22-00442 | 06/20/2023 | Claimant(s): Ronald Kapusta
Claimant Lawyers(s): Peter Kreher
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): Guillermo L. Bosch, Doris J. Dabrowski, Joseph Patrick Murphy
Hearing Site: Philadelphia, PA
| | Expungement |
