| 22-01025 | 05/08/2023 | Claimant(s): Kenneth Woodfield, Michael Shain
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Howard N. Gorney, Mary E. Bassett, John George Neylon
Hearing Site: Boston, MA
|  | $0 |
| 20-02093 | 04/18/2023 | Claimant(s): Jeremy Seidman, Jose Rodriguez-Villalobos, Mitchell Riesenberger, Simon Clarke
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): David S. Pegno
Arbitrator(s): Michael A. Orticelle, John R. Snyder, Merriann Panarella
Hearing Site: Boston, MA
| | |
| 22-00673 | 04/04/2023 | Claimant(s): The Fengler Family Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Evalyn Lipton Fishbein, David S Godkin, Ira Sperling
Hearing Site: Boston, MA
| | Expungement |
| 21-00961 | 04/04/2023 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michelle M. Wezner
Respondent(s): Craig Lewis
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Lucy J. Karl, Gene M. Bauer, Paula M. Bagger
Hearing Site: Boston, MA
| | |
| 22-02168 | 03/01/2023 | Claimant(s): Edward Velosa
Claimant Lawyers(s): Edward Velosa
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Shruti Jaishankar
Arbitrator(s): Arthur Lewis Pressman
Hearing Site: Boston, MA
| | $0 |
| 22-01004 | 02/22/2023 | Claimant(s): Lee Holland
Claimant Lawyers(s): Lee M. Holland
Respondent(s): Sofi Securities LLC
Respondent Lawyers(s): William Corey
Arbitrator(s): Andrea J. Goldman
Hearing Site: Boston, MA
| | $0 |
| 21-02760 | 02/10/2023 | Claimant(s): James Moniz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Signator Investors.
Respondent Lawyers(s): Justin Sacca
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
| | |
| 19-03772 | 01/09/2023 | Claimant(s): Joshua Heapes
Claimant Lawyers(s): Jeremy L. Bartell
Respondent(s): Chad Troester, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christopher S. Koller
Arbitrator(s): Nelson P. Lovins, Denise L. Presley, Michael P. Breton
Hearing Site: Boston, MA
| | |
| 20-02678 | 07/22/2022 | Claimant(s): Brian Mulvey
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): John Francis Markuns
Hearing Site: Boston, MA
| | |
| 21-01469 | 07/11/2022 | Claimant(s): Adrienne Rowles
Claimant Lawyers(s): John E. Sutherland
Respondent(s): George Woerdeman
Respondent Lawyers(s): Louis M. Ciavarra
Arbitrator(s): B. John Dill, Andrea J. Goldman, Christine R. Fitzgerald
Hearing Site: Boston, MA
| | |
