23-01880 | 03/15/2024 | Claimant(s): Janice DeMocker Claimant Lawyers(s): James Brian DeMocker Respondent(s): Morgan Stanley, Teri Kelley Respondent Lawyers(s): Christine Kendrick Arbitrator(s): Matthew Stephen Duchesne Hearing Site: Washington, DC
| | Expungement |
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 |
20-02555 | 12/28/2021 | Claimant(s): Cheryl E. Amyx Living Trust U/A 11/7/05 Claimant Lawyers(s): W. Scott Greco Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rebecca K. Lindahl Arbitrator(s): Sheila D. Collins, Matthew Stephen Duchesne, Francis Henry Dong Hearing Site: Washington, DC
| | $299,899 |
19-02564 | 02/04/2021 | Claimant(s): Shaheen Aulakh Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith F. Hoffman Arbitrator(s): Matthew Stephen Duchesne Hearing Site: Washington, DC
| | $0 |
18-02884 | 03/27/2019 | Claimant(s): William Portugal Claimant Lawyers(s): William Portugal Respondent(s): Roshan Loungani, Arete Wealth Management. Respondent Lawyers(s): UnBo (Bob) Chung Arbitrator(s): Matthew Stephen Duchesne Hearing Site: Washington, DC
| | Expungement |
17-00348 | 03/29/2018 | Claimant(s): Elizabeth Goodiel Claimant Lawyers(s): Nancy Goodiel Respondent(s): Anastasios Vassilas, AXA Advisors, Mony Securities Corporation Respondent Lawyers(s): Alexander Nemiroff, Anthony W. Djinis Arbitrator(s): Robert Vaughan Cornish, Christopher M. McMurray, Matthew Stephen Duchesne Hearing Site: Washington, DC
| | $0 |
16-03270 | 03/08/2018 | Claimant(s): Elvira Martinez Manso, Harry Pelaez, Encody. Claimant Lawyers(s): Lloyd R. Schwed Respondent(s): UBS Financial Services Inc. Of PR Respondent Lawyers(s): Denver G. Edwards Arbitrator(s): Seth L. Finkel, Jan Glenn Valecka, Matthew Stephen Duchesne Hearing Site: San Juan, PR
| | $253,256 |
17-00742 | 10/16/2017 | Claimant(s): David Ciccone Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Matthew Stephen Duchesne Hearing Site: Washington, DC
| | |
15-02121 | 12/09/2016 | Claimant(s): Jose Fernandez, Marixa Hernandez Claimant Lawyers(s): Luis E. Minana, W. Scott Greco Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR Respondent Lawyers(s): Donald F. Winningham, Roberto C. Quinones Arbitrator(s): Richard H. Potter, James L. Warren, Matthew Stephen Duchesne Hearing Site: San Juan, PR
| | $391,476 |