| 19-01392 | 12/12/2022 | Claimant(s): Jeffrey Cohen
Claimant Lawyers(s): David A. Schrader
Respondent(s): Wells Fargo Advisors Financial Network, Philip Pappas, Steven Dichter
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Annamaria Boccia Smith, John Herbert Grefe, John Warner Lowe
Hearing Site: New York, NY
|  | $0 |
| 21-01477 | 12/12/2022 | Claimant(s): Estate of Anita Mankowski
Claimant Lawyers(s): Maria L. Kreiter
Respondent(s): Morgan Stanley, Richard Behrendt
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Leon Fox, Susanne J. Hollander, Raymond P. Buschmann
Hearing Site: Milwaukee, WI
| | $0 |
| 21-02186 | 12/12/2022 | Claimant(s): Ronald Gagnon
Claimant Lawyers(s): Robert Kerrigan
Respondent(s): Worden Capital Management LLC, Jamie Worden, Michael Rosalia
Respondent Lawyers(s): Bruce Lewitas, Jamie John Worden, Michael Richard Rosalia
Arbitrator(s): LaVon C. Phillips, Grant D. Sanders, Frank Edward Hermann
Hearing Site: Minneapolis, MN
| | $130,000 |
| 22-01770 | 12/09/2022 | Claimant(s): Michael Walters
Claimant Lawyers(s): Michael Walters
Respondent(s): Ally Invest Securities LLC
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
| | $0 |
| 22-00953 | 12/09/2022 | Claimant(s): Anuphong Sivatitikul, Sukanya Thudsuan
Claimant Lawyers(s): David Neuman
Respondent(s): Narongdej Jaroensabphayanont
Respondent Lawyers(s): Narongdej Jaroensabphayanont
Arbitrator(s): Mark Lee Haggard
Hearing Site: Seattle, WA
| | $53,768 |
| 21-02361 | 12/08/2022 | Claimant(s): Jill McLoughlin, Jody Hall, Joyce Rosenthal, Judy Richardson, Shirlee R. Rosenthal Irrev. R.E. Trust
Claimant Lawyers(s): Stacey P. Nakasian
Respondent(s): Charles White, Wilson Saville, Barrett & Company
Respondent Lawyers(s): Peter F. Flynn
Arbitrator(s): Carol Di Natale, Nicholas Trott Long, John C Solomon
Hearing Site: Providence, RI
| | $534,397 |
| 19-03072 | 12/06/2022 | Claimant(s): Kanwaljit (Ken) Bakshi
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Leslie L. Cooney, Edward R. Niederriter, Robert G. Falbisaner
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-01609 | 12/06/2022 | Claimant(s): The Hermes Family Trust
Claimant Lawyers(s): Courtney Werning
Respondent(s): Gregory Fockler, Royal Alliance Associates.
Respondent Lawyers(s): Gregory Curley
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cleveland, OH
| | $10,600 |
| 20-01353 | 12/02/2022 | Claimant(s): Louis Barrood
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Michael Fischetti, Edith M. Novack, Beverly Ann Williams
Hearing Site: Jersey City, NJ
| | $0 |
| 21-00942 | 12/02/2022 | Claimant(s): Steven Daily
Claimant Lawyers(s): Steven R. Daily
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Las Vegas, NV
| | $0 |
