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 |