22-00864 | 06/30/2023 | Claimant(s): David Soble Claimant Lawyers(s): John E. Sutherland Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Joel M. Everest Arbitrator(s): Gene M. Bauer, Michael P. Breton, Thomas M. Madden Hearing Site: Boston, MA
| | $0 |
21-03039 | 06/02/2023 | Claimant(s): Benjamin Zimbel Claimant Lawyers(s): Alan D. Rose Respondent(s): Hornor, Townsend & Kent. Respondent Lawyers(s): Paula D. Shaffner Arbitrator(s): Richard J. Grahn Hearing Site: Boston, MA
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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
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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
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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
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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
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