24-00246 | 05/03/2024 | Claimant(s): D.A. Davidson & Co. Claimant Lawyers(s): Nancy L. Hendrickson Respondent(s): Avya Daver Respondent Lawyers(s): Avya Daver Arbitrator(s): Edward W. Morris Hearing Site: New York, NY
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23-02474 | 04/25/2024 | Claimant(s): Zak Shaik Claimant Lawyers(s): Zak Shaik Respondent(s): Pruco Securities. Respondent Lawyers(s): Caitlin P. Cascino Arbitrator(s): Edward W. Morris, Jess A. Bunshaft, Alan Steven Mittleman Hearing Site: Jersey City, NJ
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23-01153 | 12/26/2023 | Claimant(s): Securities America. Claimant Lawyers(s): Justin Sacca Respondent(s): Robert Thomas Respondent Lawyers(s): Robert A. Thomas Arbitrator(s): Edward W. Morris Hearing Site: Augusta, ME
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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 |
22-02977 | 07/11/2023 | Claimant(s): Linda O'Connor Claimant Lawyers(s): Linda O'Connor Respondent(s): Morgan Stanley Respondent Lawyers(s): Andrew Joyce Arbitrator(s): Ronald Citron, Annamaria Boccia Smith, Edward W. Morris Hearing Site: New York, NY
| | Dismissed by Rule 12504 |
23-00225 | 06/15/2023 | Claimant(s): Eric Yamin Claimant Lawyers(s): David E. Robbins Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Madelyn A. Levy, Edward W. Morris, Gerald M. Levine Hearing Site: New York, NY
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21-02879 | 06/08/2023 | Claimant(s): Roger Squires Claimant Lawyers(s): Roger B. Squires Respondent(s): Laidlaw & Company (UK) Ltd. Respondent Lawyers(s): Richard J. Babnick Arbitrator(s): Morton S. Bunis, Edward W. Morris, Stefan Savic Hearing Site: New York, NY
| | $0 |
22-01166 | 06/05/2023 | Claimant(s): Timothy Hladik Claimant Lawyers(s): Adam J. Weinstein Respondent(s): LPL Financial LLC Respondent Lawyers(s): Kelsey Vasko Arbitrator(s): Edward W. Morris, Peter M Cosel, Jud Perkins Hearing Site: Providence, RI
| | Dissmissed by Rule 12206/12504 |
21-01974 | 05/30/2023 | Claimant(s): Betty Sprague, Eric Orkin Claimant Lawyers(s): Meghan L. McElligott Respondent(s): Triad Advisors LLC, Lion Street Financial Respondent Lawyers(s): Gerry Kowalski, Kathy M. Klock Arbitrator(s): Edward W. Morris, Howard N. Gorney, Sean Michalski Hearing Site: Manchester, NH
| | Expungement |
21-00467 | 04/13/2023 | Claimant(s): Donald Cariati, Carmine Cariati Rev Trust Feb 16, 2017 Claimant Lawyers(s): Richard Slavin Respondent(s): Morgan Stanley Respondent Lawyers(s): Abigail D. Elrod Arbitrator(s): Edward W. Morris, Christopher Meisenkothen, Jud Perkins Hearing Site: Hartford, CT
| | $0 |