| 21-00482 | 11/23/2022 | Claimant(s): Armand Ortega
Claimant Lawyers(s): Alan Baskin
Respondent(s): J.P. Morgan Securities, Ryan Schlappi, JP Morgan Chase Bank, N.A.
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Thomas A. Peterson, Jay H. Feldstein, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
|  | Expungement |
| 21-00912 | 06/24/2022 | Claimant(s): Erin Daly
Claimant Lawyers(s): Michelle Daly
Respondent(s): Citigroup Global Markets., Citibank, N.A., Citigroup Inc.
Respondent Lawyers(s): Lisa Lupion
Arbitrator(s): Alexander Wayman Hunter, Roger Pierro, Helen Scott Ching
Hearing Site: New York, NY
| | |
| 21-00526 | 06/09/2022 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Andrew Stout, Andrew Waldbaum, Christopher Horner, Kenneth Robbins, Lisa Detanna, Michelle Moore, Raymond James Trust, N.A.
Respondent Lawyers(s): Hayden Adams, Peter S. Fruin
Arbitrator(s): Robert D. Sussin, George Herman Frisch, Leslie Marie Hopp
Hearing Site: Los Angeles, CA
| | |
| 16-02593 | 10/29/2019 | Claimant(s): Alexandre Santos
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Citigroup Global Markets., Citibank, N.A.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Michael J McAllister, Daniel Robbins, Richard Gee
Hearing Site: New York, NY
| | |
| 18-00400 | 08/12/2019 | Claimant(s): Benjamin Kwon, Castle Eurasia Corp, El Centro Acres
Claimant Lawyers(s): Benjamin Kwon
Respondent(s): Milan Konkol, MUFG Union Bank, N.A., Unionbanc Investment Services
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Thomas E. Shuck, Jack R. Goetz, Lisa Miller
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12212(c) |
| 16-01194 | 07/13/2017 | Claimant(s): Rick Konecny
Claimant Lawyers(s): Rick Douglas Konecny
Respondent(s): J.P. Morgan Securities, JPMorgan Chase Bank, N.A.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Steven H. Vogel, Susanne J. Hollander, G. Marshall Abbey
Hearing Site: Chicago, IL
| | |
| 15-00369 | 06/27/2016 | Claimant(s): Christopher Mcdermott
Claimant Lawyers(s): Curtis Carlson
Respondent(s): MBSC Securities Corporation, BNY Mellon, N.A.
Respondent Lawyers(s): Alec Hillbo, Daniel Canales
Arbitrator(s): James W. Geiger, Edward R. Niederriter, Michael McCallion
Hearing Site: Boca Raton, FL
| | |
| 15-01053 | 06/14/2016 | Claimant(s): J.P. Morgan Securities, JPMorgan Chase Bank, N.A.
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Jason Meyer, Morgan Stanley, Lori Rabinowitz, Mead Briggs, Michael Pudlak, Michael Reynolds, Steven Christensen
Respondent Lawyers(s): Jonathan C. Thau, Thomas J. Momjian
Arbitrator(s): Kenneth J. Horowitz, Leo J. Karwejna, Sirena Terr
Hearing Site: Newark, NJ
| | |
| 12-03313 | 02/29/2016 | Claimant(s): Valley National Bank, N.A.
Claimant Lawyers(s): John G. Rich
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Michael A. Brady
Arbitrator(s): Louis H. Miron, Sam Antar, Robert J. McDonnell
Hearing Site: Newark, NJ
| | $0 |
| 15-00726 | 05/19/2015 | Claimant(s): Santander Bank, N.A., Santander Securities LLC
Claimant Lawyers(s): David M. Belcher
Respondent(s): Robert Grossman
Respondent Lawyers(s): Robert Keith Grossman
Arbitrator(s): Cynthia A. DiMarco, Mark J. Happe, Robert Francis Littlejohn
Hearing Site: New York, NY
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