| 21-02940 | 11/15/2022 | Claimant(s): Yvonne Lyon
Claimant Lawyers(s): Robert Persante
Respondent(s): James Evans, Fidelity Brokerage Services LLC, Ryan Patrick
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Mimi B. Osiason, Geoffrey Paul Nuckolls, Andrea M Johnson
Hearing Site: Tampa, FL
|  | Expungement |
| 22-01193 | 11/15/2022 | Claimant(s): Dilek Uzun
Claimant Lawyers(s): Dilek Uzun
Respondent(s): Harry Zwick, JPMSI
Respondent Lawyers(s): Heidi E. VonderHeide, Robert L. Herskovits
Arbitrator(s): Nancy Kramer
Hearing Site: New York, NY
| | $0 |
| 19-02173 | 11/14/2022 | Claimant(s): Daniel Wallace
Claimant Lawyers(s): Alan Rosca
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael M. Rosensaft
Arbitrator(s): Mary Julia O'Connell, David John Reilly, Eric Goldman
Hearing Site: New York, NY
| | $0 |
| 20-02368 | 11/08/2022 | Claimant(s): Helen Shelly, Jerry Shelly
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Arkadios Capital, Triad Advisors LLC
Respondent Lawyers(s): Greg Curley, Peter B. King
Arbitrator(s): Michael J. Ahlstrom, Stuart K. Furman, Bernadette F. Rasmussen
Hearing Site: Columbia, SC
| | Expungement |
| 22-00834 | 11/07/2022 | Claimant(s): Aspiration Financial LLC
Claimant Lawyers(s): Andrew J. Melnick
Respondent(s): David Flores
Respondent Lawyers(s): David Flores
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | $0 |
| 19-02832 | 11/07/2022 | Claimant(s): Abrahm Family Trust
Claimant Lawyers(s): Jacob Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Joseph C. Watson, Robert B. Hansohn, Michael John Florio
Hearing Site: Los Angeles, CA
| | Expungement |
| 19-02328 | 11/07/2022 | Claimant(s): Carl Abdalian
Claimant Lawyers(s): Robert Souren Abdalian
Respondent(s): Douglas Vollette, Fidelity Brokerage Services LLC, Todd Williams
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): John C. Aten
Hearing Site: Cleveland, OH
| | $0 |
| 22-00493 | 11/07/2022 | Claimant(s): Brian Birkes
Claimant Lawyers(s): Brian C. Birkes
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Maryanne M. Esser
Hearing Site: Little Rock, AR
| | $4,371 |
| 20-01536 | 11/01/2022 | Claimant(s): Joseph Hardoon
Claimant Lawyers(s): Eliott Berman
Respondent(s): Edward Jones, Janice Hardoon, Thomas D'Arcangelo
Respondent Lawyers(s): David B. Felsenthal, Joseph N. Nguyen
Arbitrator(s): Martin L. Feinberg, Karen Isabel Bedrosian - Richardson, Paul C. Tang
Hearing Site: New York, NY
| | Expungement |
| 21-00200 | 10/28/2022 | Claimant(s): Diane Jacobson, Jeffrey Jacobson
Claimant Lawyers(s): Christopher J. Moyen
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Martin M. Van Luven, Jessica Shaw, Jennifer Lavoie
Hearing Site: Tampa, FL
| | $0 |
