| 24-00544 | 06/07/2024 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Richard Montaldo, Jr.
Respondent Lawyers(s): Richard Frank Montaldo, Jr.
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
| | |
| 23-01919 | 04/09/2024 | Claimant(s): Cyrus Desai
Claimant Lawyers(s): Meher C. Desai
Respondent(s): William Young, Grove Point Investments
Respondent Lawyers(s): Garry T. Stevens, Jr., Richard A. D'Amura
Arbitrator(s): Christopher M. McMurray, Luba Shur, Kiran Nasir Gore
Hearing Site: Washington, DC
|  | Dismissed by Rule 12206 |
| 23-00733 | 12/19/2023 | Claimant(s): John Dewitt
Claimant Lawyers(s): Harris Freedman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Leonel Peraza, Jr.
Arbitrator(s): Barry David Thorpe
Hearing Site: Boca Raton, FL
| | |
| 22-02272 | 10/11/2023 | Claimant(s): Patrick Hanratty
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers, Jr.
Arbitrator(s): Mark A. Myers
Hearing Site: New Orleans, LA
| | Expungement |
| 22-00692 | 06/01/2023 | Claimant(s): Cheryl Weigel, Executrix
Claimant Lawyers(s): Michael P. Stanton
Respondent(s): Wells Fargo Clearing Services, Robert Cautilli
Respondent Lawyers(s): Jeffery D. Rodgers, Jr.
Arbitrator(s): Guillermo L. Bosch, Arnold Peter Borish, Annya Baskerville
Hearing Site: Philadelphia, PA
| | Expungement |
| 22-01938 | 05/23/2023 | Claimant(s): Henry Krich
Claimant Lawyers(s): Craig Stein
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers, Jr.
Arbitrator(s): Steven N. Ainbinder, Will Murphy, Carl Joseph Domino
Hearing Site: Boca Raton, FL
| | |
| 23-00164 | 04/06/2023 | Claimant(s): Josef Najar
Claimant Lawyers(s): David E. Robbins
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): G. Wayne Hillis, Jr.
Arbitrator(s): Fred S. Pieroni, Edward W. Morris, Joanne Basso Mack
Hearing Site: New York, NY
| | |
| 21-02049 | 03/02/2022 | Claimant(s): Michael Piccolo
Claimant Lawyers(s): Brian Luther
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffrey D. Rodgers, Jr.
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Jersey City, NJ
| | |
| 20-00652 | 02/28/2022 | Claimant(s): James W. Miller, Jr.
Claimant Lawyers(s): Stephen O'Donnell
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC, Nicholas King, Paolo Rocca, Strategic Advisers.
Respondent Lawyers(s): Dochtor Kennedy, Kathryn B. Rockwood
Arbitrator(s): Theodore W. Wrobleski, Philip C. Stahl, James William Hoag
Hearing Site: Chicago, IL
| | Expungement |
| 20-02760 | 02/25/2021 | Claimant(s): Robert Smith
Claimant Lawyers(s): Sarah K. Yates
Respondent(s): BBVA Securities.
Respondent Lawyers(s): David S. Neel, Jr.
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
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