| 20-01960 | 05/25/2022 | Claimant(s): The David and Heather Weir Family Trust
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles A. DeVore
Arbitrator(s): Helen Marinak Blohm, Paul H. Lamboley, Harvey W Gordon
Hearing Site: Albuquerque, NM
|  | $1,447,090 |
| 22-00146 | 05/24/2022 | Claimant(s): Robert Rockefeller
Claimant Lawyers(s): Robert Rockefeller
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | $125 |
| 20-03025 | 05/24/2022 | Claimant(s): Allan Varah
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jeff Goldman
Arbitrator(s): William Kent Brown, Arlene Simon Backman
Hearing Site: Boca Raton, FL
| | Expungement |
| 19-02523 | 05/23/2022 | Claimant(s): Harry Alter, Harry S. Alter Revocable Trust
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Jamie Worden, Worden Capital Management LLC
Respondent Lawyers(s): Jamie John Worden
Arbitrator(s): Robert J. Scafuri, Jack D. Elmquist, Frederick B. Anderson
Hearing Site: Des Moines, IA
| | $60,000 |
| 21-01860 | 05/23/2022 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Marcin Dusza
Respondent Lawyers(s): Marcin Dusza
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
| | $78,088 |
| 21-00010 | 05/20/2022 | Claimant(s): Peter Dora, Peter D. Dora, on Behalf of His IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): G.F. Investment Services
Respondent Lawyers(s): Judy A. Newcomb
Arbitrator(s): Mauricio Arcadier
Hearing Site: Orlando, FL
| | $107,725 |
| 21-00114 | 05/19/2022 | Claimant(s): David C. Rentschler and Karen Ann
Claimant Lawyers(s): David Vermont
Respondent(s): Stephano Marino
Respondent Lawyers(s): David A. Schrader
Arbitrator(s): Darrell A. Hillis, Lita S Menkin, Douglas Charles Weinstein
Hearing Site: Nashville, TN
| | Dismissed by Rule 12212/12511 |
| 22-00042 | 05/19/2022 | Claimant(s): Futu Inc.
Claimant Lawyers(s): Jonah Hecht
Respondent(s): Andy Chou
Respondent Lawyers(s): Andy Chou
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
| | $51,450 |
| 21-02979 | 05/18/2022 | Claimant(s): Shawn Swanson
Claimant Lawyers(s): Shawn Swanson
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Matthew Stephen Duchesne
Hearing Site: Washington, DC
| | $0 |
| 19-02323 | 05/18/2022 | Claimant(s): Elizabeth Kitsis, Richard Kitsis
Claimant Lawyers(s): Sam A. Silverstein
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Howard D. Jacob, Paul C. Tang, Suzanne L. Ulicny
Hearing Site: New York, NY
| | Expungement |
