| 24-01436 | 09/30/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Sara Soto
Respondent(s): Kevin Newmuis
Respondent Lawyers(s): Kevin Darnell Newmuis
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
| | |
| 22-02026 | 09/30/2024 | Claimant(s): Carol Chaney, E. Chaney, Chaney Family Partnership, Ltd.
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Andrea Joan Douglas, Allan R. Lazor, Joshua Charles Nelson-Archer
Hearing Site: Houston, TX
|  | Expungement |
| 23-00534 | 09/30/2024 | Claimant(s): Robert Thomas
Claimant Lawyers(s): Michael Bessette
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Gregg J. Brietbart
Arbitrator(s): Frederick W. Keuthen, Robert L. Chase, John James McGovern
Hearing Site: Augusta, ME
| | |
| 23-02973 | 09/30/2024 | Claimant(s): Joshua Alloway
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Joseph Two
Arbitrator(s): Christopher M. McMurray
Hearing Site: Richmond, VA
| | |
| 23-02851 | 09/30/2024 | Claimant(s): Ryan Malloch
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | |
| 22-02819 | 09/27/2024 | Claimant(s): Daniela Schuvaks-Katz, Robert Alan Katz
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Andrea Steiner, Western International Securities.
Respondent Lawyers(s): Andrea Steiner, Jeffrey K. Compton
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Indianapolis, IN
| | $0 |
| 23-00656 | 09/27/2024 | Claimant(s): Bing Fong Ma, Carol Tam, Charles Karnavy, Christine Tai, Craig Hansen, Hao Fang, Ilaria Turner, John Pink, Julie Chou, Shui-Man Tong, Shun-Yee Perng, Sourav Dutt, Sun Su Qin Baker, Tin-Na Kan
Claimant Lawyers(s): Adam B. Wolf
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Adam Pollet
Arbitrator(s): Darryl J. Horowitt, Grace Sarkis Noubar Seferian, Colleen Honigsberg
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206(b) |
| 24-00505 | 09/27/2024 | Claimant(s): Anthony Slaybaugh
Claimant Lawyers(s): Alexander Padla
Respondent(s): Lincoln Financial Distributors.
Respondent Lawyers(s): Michael Arnold
Arbitrator(s): Frances Johnson Wright
Hearing Site: Denver, CO
| | |
| 23-01580 | 09/27/2024 | Claimant(s): Lisa Posillico
Claimant Lawyers(s): Neil B. Solomon
Respondent(s): Donna Mackay, Morgan Stanley, Sally Ann Weger
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Loretta Yin, Paula Berg, Scott Fairgrieve
Hearing Site: New York, NY
| | Expungement |
| 23-02401 | 09/27/2024 | Claimant(s): Autrey McAdory
Claimant Lawyers(s): Autrey McAdory
Respondent(s): Cash App Investing LLC
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Thomas P. Valenti, Ira Stephen Epstein, Jessica Gibson
Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12504(b) |
