| 22-00242 | 12/19/2022 | Claimant(s): Gregory McLean
Claimant Lawyers(s): Stuart E. Finer
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Greg Curley, Esq.
Arbitrator(s): Ira A. Auerbach
Hearing Site: Syracuse, NY
| | |
| 20-01712 | 01/14/2021 | Claimant(s): Brian Kasal
Claimant Lawyers(s): Joshua Kons
Respondent(s): Morgan Stanley, William Blair & Company L.L.C.
Respondent Lawyers(s): Andrew Gelfand, Esq., Christopher D. Seps
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | |
| 20-01786 | 10/26/2020 | Claimant(s): Mark Dalrymple
Claimant Lawyers(s): Kyle M. Kulzer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin, Esq.
Arbitrator(s): Alain Frecon
Hearing Site: Minneapolis, MN
|  | Settlement |
| 18-03991 | 07/30/2019 | Claimant(s): Michael Abramo
Claimant Lawyers(s): N. Nancy Ghabai, Esq.
Respondent(s): LPL Financial LLC, UBS Financial Services Inc., Citigroup Global Markets.
Respondent Lawyers(s): Anthony J. Borrelli, David I. Hantman, Esq., Jon D. Kaplon
Arbitrator(s): Gerard S. Marsan
Hearing Site: Boston, MA
| | |
| 16-03022 | 09/19/2017 | Claimant(s): Smith Walker
Claimant Lawyers(s): David A. Walton
Respondent(s): E*Trade Securities LLC, E*Trade Clearing LLC
Respondent Lawyers(s): Meredith Hoffman, Esq.
Arbitrator(s): G. Maynard Green, Robert J. Gregory, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $0 |
| 16-00826 | 08/23/2017 | Claimant(s): Charles Morgan, Charles W. Morgan Revocable Living Trust
Claimant Lawyers(s): Charles W. Morgan
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie, Esq.
Arbitrator(s): Michael Harrison, Richard M. Norman, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | Expungement |
| 15-01408 | 08/02/2016 | Claimant(s): Randi Dukoff
Claimant Lawyers(s): Timothy J. O'Connor, Esq.
Respondent(s): Joel Joachim, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 11-02484 | 05/14/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Holdings
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Sean Barrett
Respondent Lawyers(s): Richard J. Hoag
Arbitrator(s): Lester G. Stiel, Greta Glavis, Alan Joseph Goldstein
Hearing Site: San Diego, CA
| | |
| 13-01217 | 05/14/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Nicholas Ragone
Respondent Lawyers(s): Kimberly Kalmanson
Arbitrator(s): Stanley M. Ulanoff, William E. Nuckel, Stewart E. Winner
Hearing Site: New York, NY
| | |
| 12-00470 | 10/04/2013 | Claimant(s): Greg Chandler
Claimant Lawyers(s): Collin H. Nyeholt
Respondent(s): Wells Fargo Advisors, Mark Tomas, Tomas Holdings., Wolverine Real Estate Partners
Respondent Lawyers(s): Mark L. Kowalsky, Nuviah Shirazi, Esq.
Arbitrator(s): Barry Goldman, Susan L. Currier, Lee Hornberger
Hearing Site: Detroit, MI
| | Expungement |
