23-01975 | 10/01/2024 | Claimant(s): Gregory Buckis Claimant Lawyers(s): Brandon Dei Respondent(s): Francis Carson, Money Concepts Capital Corp Respondent Lawyers(s): Kathy M. Klock Arbitrator(s): Christopher M. McMurray, Randy Jeff Branitsky, Kiran Nasir Gore Hearing Site: Washington, DC
| | $0 |
22-02026 | 09/30/2024 | Claimant(s): Carol Chaney, E. Chaney, Chaney Family Partnership, Ltd. Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Anthony J. Borrelli Arbitrator(s): Andrea Joan Douglas, Allan R. Lazor, Joshua Charles Nelson-Archer Hearing Site: Houston, TX
| | Expungement |
22-02819 | 09/27/2024 | Claimant(s): Daniela Schuvaks-Katz, Robert Alan Katz Claimant Lawyers(s): Kirk G. Smith Respondent(s): Andrea Steiner, Western International Securities. Respondent Lawyers(s): Andrea Steiner, Jeffrey K. Compton Arbitrator(s): Jeffry M. Bauer Hearing Site: Indianapolis, IN
| | $0 |
23-00656 | 09/27/2024 | Claimant(s): Bing Fong Ma, Carol Tam, Charles Karnavy, Christine Tai, Craig Hansen, Hao Fang, Ilaria Turner, John Pink, Julie Chou, Shui-Man Tong, Shun-Yee Perng, Sourav Dutt, Sun Su Qin Baker, Tin-Na Kan Claimant Lawyers(s): Adam B. Wolf Respondent(s): TD Ameritrade. Respondent Lawyers(s): Adam Pollet Arbitrator(s): Darryl J. Horowitt, Grace Sarkis Noubar Seferian, Colleen Honigsberg Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206(b) |
23-01580 | 09/27/2024 | Claimant(s): Lisa Posillico Claimant Lawyers(s): Neil B. Solomon Respondent(s): Donna Mackay, Morgan Stanley, Sally Ann Weger Respondent Lawyers(s): Kimberly J. Gustafson Arbitrator(s): Loretta Yin, Paula Berg, Scott Fairgrieve Hearing Site: New York, NY
| | Expungement |
23-02401 | 09/27/2024 | Claimant(s): Autrey McAdory Claimant Lawyers(s): Autrey McAdory Respondent(s): Cash App Investing LLC Respondent Lawyers(s): Kevin J. Woods Arbitrator(s): Thomas P. Valenti, Ira Stephen Epstein, Jessica Gibson Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12504(b) |
24-01196 | 09/26/2024 | Claimant(s): Karan Patel Claimant Lawyers(s): Karan B. Patel Respondent(s): Robinhood Financial. Respondent Lawyers(s): Simeon M. Schopf Arbitrator(s): Gregory G. Gocek Hearing Site: Minneapolis, MN
| | $88 |
23-01680 | 09/26/2024 | Claimant(s): Robert Rosenfeld DDS Retirement Plan Claimant Lawyers(s): Ross B. Intelisano Respondent(s): Morgan Stanley Respondent Lawyers(s): Jeremy Winer Arbitrator(s): Cheryl H. Agris, Terrance J. Nolan, Jay William Pozenel Hearing Site: New York, NY
| | $0 |
23-01915 | 09/25/2024 | Claimant(s): Donna Berman, Teresa Davis Claimant Lawyers(s): Donna Jules Berman Respondent(s): Daniel Pikula, Emerson Equity LLC Respondent Lawyers(s): Chad Weaver, Jeffrey L. Cox Arbitrator(s): David P. Slater, Leonard Michael Cusano, Jeremy Attia Hearing Site: Boca Raton, FL
| | $0 |
23-02443 | 09/24/2024 | Claimant(s): Tamera (Tammy) Elkon Claimant Lawyers(s): Tamera (Tammy) Elkon Respondent(s): Erin Hooten, James Flynn, Farmers Financial Solutions Respondent Lawyers(s): Edwin Barkel, Jeff Nicodemus Arbitrator(s): Arthur H. Geffen, James E. Lane, Lawrence Frederick Ranallo Hearing Site: Dallas, TX
| | Expungement |