| 20-04112 | 06/08/2022 | Claimant(s): The Steven Sherb Irrevocable Trust
Claimant Lawyers(s): Ted Poretz
Respondent(s): Hightower Advisors
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Lise Gabrielle Hunter, Hammed Adeniyi, Phil-Elleana Maria Ficklin
Hearing Site: New York, NY
|  | $0 |
| 20-01399 | 06/08/2022 | Claimant(s): Dana King
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): LPL Financial LLC, Bryan Shevak
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Nancy J. Cliff, Daniel H. Yaffe, Gloria O. North
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-00464 | 06/08/2022 | Claimant(s): William and Diane Cary
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Peter G. Wilson
Arbitrator(s): Daniel R. Formeller, Leon Fox, John Pacocha
Hearing Site: Chicago, IL
| | $250,600 |
| 22-00183 | 06/08/2022 | Claimant(s): Robert Fleming
Claimant Lawyers(s): Robert A. Fleming
Respondent(s): Oriental Financial Services Corp.
Respondent Lawyers(s): Pedro Hernandez-Freire
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
| | $6,288 |
| 21-02446 | 06/07/2022 | Claimant(s): Scott Keck
Claimant Lawyers(s): Aaron C. Hemmings
Respondent(s): MML Investors Services, MSI Financial Services., Metropolitan Life Insurance Company
Respondent Lawyers(s): Peter R. Pound
Arbitrator(s): Roger C. Benson, Charles Diederich Heidgerd, Karen A. West
Hearing Site: Raleigh, NC
| | Dismissed by Rule 12206 |
| 20-02181 | 06/07/2022 | Claimant(s): Michael Flick
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Gary Demetri
Respondent Lawyers(s): Gary P. Demetri
Arbitrator(s): Jonathan H. Krotinger, Kathy A. Tatone, Thomas R. Bromberg
Hearing Site: Bismarck, ND
| | $0 |
| 21-02407 | 06/07/2022 | Claimant(s): Felix Dashevsky, The Dashevsky 2010 Trust
Claimant Lawyers(s): Felix Dashevsky
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Mitchell Regenbogen
Hearing Site: New York, NY
| | $0 |
| 20-01543 | 06/06/2022 | Claimant(s): Anna Hickey, Daniel Hickey, Daniel J. Hickey & Anna M. Hickey Trust
Claimant Lawyers(s): Devin W. Bone
Respondent(s): Jack McBride, B. Riley Wealth Management
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Patrick R. Sughroue, Richard Heim Foley, Michael John Falvo
Hearing Site: Detroit, MI
| | $0 |
| 20-03990 | 06/06/2022 | Claimant(s): Pamela McCormick, Rick McCormick, The Lindsay McCormick 2013 Gift Trust
Claimant Lawyers(s): Jeffrey Erez, Stefan Apotheker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Robert B. Hansohn, Anita Teresa Hayden, Betty Jean Jackson
Hearing Site: Los Angeles, CA
| | $1,181,720 |
| 17-03265 | 06/03/2022 | Claimant(s): Dwight Rose, Nancy Rose
Claimant Lawyers(s): Albert R. Murray
Respondent(s): Kevin Houser, Houser & Plessl Wealth Management Group,
Respondent Lawyers(s): Michael S. Taafee
Arbitrator(s): Annamaria Boccia Smith, Sirena Terr, Charlane Brown
Hearing Site: New York, NY
| | Expungement |
