| 23-01816 | 05/21/2024 | Claimant(s): Peter Darnell, Randi Gollin
Claimant Lawyers(s): Jessica A. Murzyn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Josefa Antonia Sicard-Mirabal, John Franklin Udochi, Anjelica Cappellino
Hearing Site: New York, NY
|  | Expungement |
| 23-00211 | 05/01/2024 | Claimant(s): Christina Ludvigsen, Christina Ludvigsen IRA (1107), Christina Ludvigsen IRA (3283)
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Frank Wu, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Allan N. Taffet, Edmund Siejka, John Franklin Udochi
Hearing Site: New York, NY
| | $7,440 |
| 23-03017 | 04/03/2024 | Claimant(s): Neil Klein
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): John Franklin Udochi
Hearing Site: New York, NY
| | |
| 23-02197 | 03/21/2024 | Claimant(s): Robert Crothers
Claimant Lawyers(s): Robert Moses
Respondent(s): American Portfolios Financial Srvs.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): John Franklin Udochi
Hearing Site: New York, NY
| | |
| 22-01838 | 11/20/2023 | Claimant(s): Harvey Silver, The Estate of Gladys Silver
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): E*Trade Securities LLC, TD Ameritrade.
Respondent Lawyers(s): Frank J. Cuccio, Joseph E. Floren
Arbitrator(s): Elizabeth Gilbert, Edward W. Morris, John Franklin Udochi
Hearing Site: New York, NY
| | $440 |
| 23-00597 | 11/16/2023 | Claimant(s): Noah Doyle
Claimant Lawyers(s): Harris Freedman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): John Franklin Udochi
Hearing Site: New York, NY
| | |
| 22-00171 | 10/06/2022 | Claimant(s): Stuart Updegrove
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation, Eastbrook Capital Group LLC
Respondent Lawyers(s): Edward Sampson, Emily A. Hayes
Arbitrator(s): Richard W. Cutler, John Franklin Udochi, Adam J. Ciffone
Hearing Site: New York, NY
| | |
| 18-02371 | 07/14/2022 | Claimant(s): Anil Bhandari
Claimant Lawyers(s): Rishi Bhandari
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Yvette Strong, John Franklin Udochi, Brian John Gallagher
Hearing Site: New York, NY
| | |
| 21-01613 | 05/27/2022 | Claimant(s): Yulii Bogatyrenko
Claimant Lawyers(s): David Freniere
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): John Franklin Udochi
Hearing Site: New York, NY
| | $0 |
| 20-01670 | 11/25/2020 | Claimant(s): Yan Binder
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Nicola Anne Murphy
Arbitrator(s): Richard W. Cutler, Ellen Slipp, John Franklin Udochi
Hearing Site: New York, NY
| | |
