23-01148 | 12/08/2023 | Claimant(s): Claude Pizio, Patrick Deveraux, Robert Bozzi, Todd Rathe Claimant Lawyers(s): Brandon Dei Respondent(s): Alexander Simpson, Derrick Walsh, Gary Wiedman, Kathy Faucher, Shawn Kinsella, Axos Clearing LLC Respondent Lawyers(s): Carl S. Burkhalter Arbitrator(s): Fred W. Miller Hearing Site: Philadelphia, PA
| | $0 |
22-02231 | 12/08/2023 | Claimant(s): Sonia Pou Monagas Claimant Lawyers(s): Roberto C Quinones-Rivera Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina-Velez Arbitrator(s): Martin A. Feigenbaum Hearing Site: San Juan, PR
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23-00768 | 12/08/2023 | Claimant(s): Michael Moses Claimant Lawyers(s): Courtney M. Werning Respondent(s): Edward Jones Respondent Lawyers(s): Joe N. Nguyen Arbitrator(s): Carol H. Gold, Colin Bell, Stacey Frenche Hearing Site: Philadelphia, PA
| | Expungement |
23-02112 | 12/08/2023 | Claimant(s): Tonya Simmons Claimant Lawyers(s): Tonya A. Simmons Respondent(s): AET Investment Services Respondent Lawyers(s): Charles M. O'Rourke Arbitrator(s): Michael S. Jordan Hearing Site: Chicago, IL
| | $0 |
22-00976 | 12/08/2023 | Claimant(s): Harriet Isecke, William Isecke, Harriet Isecke IRA, William Isecke IRA Claimant Lawyers(s): Matthew N. Thibaut Respondent(s): David Lerner Associates. Respondent Lawyers(s): Eugene L. Small Arbitrator(s): John A. Scudiero, Edith M. Novack, Emily Diamond Hearing Site: Jersey City, NJ
| | Expungement |
23-01302 | 12/08/2023 | Claimant(s): Douglas Woolley Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Katelyn H. Wilson Arbitrator(s): Louis P. Wagman Hearing Site: Philadelphia, PA
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22-02196 | 12/07/2023 | Claimant(s): Hector Mejia, Mario Arnal Reveles Claimant Lawyers(s): Christopher H. Tovar Respondent(s): ADP Broker-Dealer. Respondent Lawyers(s): Leigh H. McMonigle Arbitrator(s): Albert T. T. Cook, Mary C. Davis, Walter Steven Schwartz Hearing Site: Albuquerque, NM
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21-00982 | 12/07/2023 | Claimant(s): Dania Sepahrokh, Jerome Menig, Renee Vonalmen, Saurin Patel, Tamaira Suwanski Claimant Lawyers(s): Stephany D. McLaughlin Respondent(s): BMO Harris Financial Advisors. Respondent Lawyers(s): Randall M. Lending Arbitrator(s): Michael S. Matek, Ann Hagerty, Robert F Hogan Hearing Site: Chicago, IL
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23-00970 | 12/07/2023 | Claimant(s): Francisco Landivar Claimant Lawyers(s): Roberto C. Quinones Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina-Velez Arbitrator(s): Gerald Silverman Hearing Site: San Juan, PR
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23-01086 | 12/07/2023 | Claimant(s): Philip Arnheiter Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Morgan Stanley DW Inc., Wells Fargo Advisors Financial Network, Oppenheimer & Co.. Respondent Lawyers(s): Andrew Joyce, Deirdre Wolff, William H. Badinelli Arbitrator(s): Kenneth J. Horowitz, Jeffrey Zuckerman, Robert Andrew Sollazzo Hearing Site: Jersey City, NJ
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