| 19-02624 | 03/09/2023 | Claimant(s): Forrest Sweat, Susan Sweat, Forrest W. Sweat Jr SEP-IRA, Forrest W. Sweat Jr. Roth IRA, Forrest w. Sweat, Jr. Traditional IRA, Susan D Sweat Roth IRA, Susan D. Sweat Traditional IRA, Susan/Forrrest Sweat JROS WOD
Claimant Lawyers(s): Charles M Dalziel
Respondent(s): Anthony Mesquit, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Michael J. Ahlstrom, J.G. Long, William L. Rittenberg
Hearing Site: Atlanta, GA
|  | $0 |
| 22-00122 | 03/09/2023 | Claimant(s): Paul E. Vaz Trucking.
Claimant Lawyers(s): John D. Pernick
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Lawrence R. Mills, Sarah Jane Militello, Bruce J Highman
Hearing Site: San Francisco, CA
| | Expungement |
| 21-00485 | 03/07/2023 | Claimant(s): Mryna Greene
Claimant Lawyers(s): Imran H. Ansari
Respondent(s): Devin Marino, Morgan Stanley, Robert Stolar
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Elizabeth Gilbert, Mary P. Bass, Bryan Lane Berson
Hearing Site: New York, NY
| | Expungement |
| 22-00982 | 03/02/2023 | Claimant(s): Pasquale Mucerino
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | Expungement |
| 21-02816 | 03/02/2023 | Claimant(s): Bruce Cullen, Sr. and Rosemarie Cullen
Claimant Lawyers(s): Philip L. Vujanov
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Barbara M. Zak, Benjamin F. Breslauer, Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | $1,483,670 |
| 22-00665 | 03/02/2023 | Claimant(s): Timothy Cunningham
Claimant Lawyers(s): Timothy J. Cunningham
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Mary Mackey, Louis Anthony Napoli, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
| | $0 |
| 22-02005 | 03/02/2023 | Claimant(s): Christopher Wheeler
Claimant Lawyers(s): Christopher Wheeler
Respondent(s): Webull Financial LLC
Respondent Lawyers(s): Danielle R. Gill
Arbitrator(s): Gerald H. Grayson
Hearing Site: Boca Raton, FL
| | $0 |
| 21-02928 | 03/02/2023 | Claimant(s): Donald Tetrault
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameritas Investment Company
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Mark C Watler, Alan M. Holzberg, Charles John McBride
Hearing Site: Houston, TX
| | Dismissed by Rule 12206 |
| 22-02168 | 03/01/2023 | Claimant(s): Edward Velosa
Claimant Lawyers(s): Edward Velosa
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Shruti Jaishankar
Arbitrator(s): Arthur Lewis Pressman
Hearing Site: Boston, MA
| | $0 |
| 22-00187 | 03/01/2023 | Claimant(s): Janet Morris, Janet Morris on Behalf of Her IRA
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): NPB Financial Group
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Edith N. Dinneen
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
