| 22-01403 | 04/27/2023 | Claimant(s): Myung Won
Claimant Lawyers(s): Myung Won
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anastasia B. Wohar
Arbitrator(s): Anthony D. DeToro, Michael John Florio, Ellie Vilendrer
Hearing Site: Los Angeles, CA
|  | $0 |
| 20-00801 | 04/26/2023 | Claimant(s): David Petterson
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Worden Capital Management LLC, Gregory Bodkin, Jamie Worden, Jerry Bileski
Respondent Lawyers(s): Charles O'Rourke, Jamie J. Worden
Arbitrator(s): Dora M. Lassinger, Paul Bennett Marrow, Brian John Gallagher
Hearing Site: New York, NY
| | $234,336 |
| 23-00391 | 04/25/2023 | Claimant(s): William Siefert
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Joseph Todaro
Respondent Lawyers(s): Joseph Paul Todaro
Arbitrator(s):
Hearing Site: Omaha, NE
| | $131,556 |
| 20-01873 | 04/25/2023 | Claimant(s): Concert Capital Limited
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): Martin A. Feigenbaum, Stephanie Jeannette Charny, Stephen Robert Tiernay
Hearing Site: Boca Raton, FL
| | Dismissed by Rule 12212 |
| 22-00202 | 04/25/2023 | Claimant(s): LaVonne Demuth
Claimant Lawyers(s): Paul D Gamez
Respondent(s): Brent Owens, Brooke Rockey, Dana Vietor, Daniel Hale, Kregg Rooze, Matthew Bahrenburg, Terry May, The Owens Family Trust
Respondent Lawyers(s): Andrew Shedlock, Gary S. Kessler
Arbitrator(s): Robert J. Scafuri, Barry Goldman, Joseph Tim Keeling
Hearing Site: Des Moines, IA
| | Expungement |
| 22-02014 | 04/24/2023 | Claimant(s): Delice Roberson
Claimant Lawyers(s): Delice A. Roberson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Linda J. Baer
Hearing Site: Jersey City, NJ
| | Dismissed by Rule 12206 |
| 18-01944 | 04/19/2023 | Claimant(s): GAMASA
Claimant Lawyers(s): Eric Quetglas-Jordan
Respondent(s): Popular Securities.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Steven Gerard Goerke, Douglas Earl McLaren, Constance P. Barr
Hearing Site: San Juan, PR
| | $0 |
| 22-00099 | 04/19/2023 | Claimant(s): Courtney Mathy, John Cooper, Mariette Cooper, Reginald Cooper, Armour Self Storage II, Courtney Mathy Trust
Claimant Lawyers(s): Casey Obren
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Walter Steven Schwartz, William B. Morgan, J. William Brammer
Hearing Site: Phoenix, AZ
| | $0 |
| 21-00467 | 04/13/2023 | Claimant(s): Donald Cariati, Carmine Cariati Rev Trust Feb 16, 2017
Claimant Lawyers(s): Richard Slavin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): Edward W. Morris, Christopher Meisenkothen, Jud Perkins
Hearing Site: Hartford, CT
| | $0 |
| 22-02130 | 04/11/2023 | Claimant(s): Rimma Yuryeva
Claimant Lawyers(s): Leon Ozeran
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jovalin Dedaj
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | $0 |
