23-01273 | 11/21/2023 | Claimant(s): Anthony Caputo Claimant Lawyers(s): Debra A. Jenks Respondent(s): Calton & Associates. Respondent Lawyers(s): Saad Rahmouni Arbitrator(s): Alice E. Winkler Hearing Site: Jersey City, NJ
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23-01497 | 11/21/2023 | Claimant(s): Marc Seeherman Claimant Lawyers(s): Steven E. Mellen Respondent(s): Calton & Associates. Respondent Lawyers(s): Saad Rahmouni Arbitrator(s): Jeffrey Alan Helewitz, Albert L. Akerman, Steven Gary Leventhal Hearing Site: New York, NY
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23-00811 | 11/21/2023 | Claimant(s): Bernard Mahon Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Laura Ruiz Rivera Arbitrator(s): Nancy E. Watters Hearing Site: Washington, DC
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23-00383 | 11/21/2023 | Claimant(s): Aram Seferian Claimant Lawyers(s): Craig A. Riha Respondent(s): Continental Broker-Dealer Corp. Respondent Lawyers(s): Thomas Tiernan Arbitrator(s): Jill Pilgrim, Brian R. Cohen, Amy Jill Baranoff Hearing Site: New York, NY
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22-02610 | 11/21/2023 | Claimant(s): Haydee Delgado Claimant Lawyers(s): Roberto C. Quinones Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina Velez Arbitrator(s): Stuart K. Furman Hearing Site: San Juan, PR
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23-01496 | 11/21/2023 | Claimant(s): Alfredo Fresno Claimant Lawyers(s): Alfredo Fresno Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Sara Soto Arbitrator(s): Darryl C. Wilson, Lorraine Naomi Pitre, Tyrone Nathaniel Watson Hearing Site: Orlando, FL
| | Dismissed by Rule 12206 |
23-01417 | 11/21/2023 | Claimant(s): Charles Natt Claimant Lawyers(s): Adam Kauff Respondent(s): Morgan Stanley Respondent Lawyers(s): Alexandros Diplas Arbitrator(s): Susan C Lushing Hearing Site: New York, NY
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23-01763 | 11/21/2023 | Claimant(s): Mark Hopper Claimant Lawyers(s): Stephan Louviere Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn D. Perreault Arbitrator(s): Gerald Silverman Hearing Site: Boca Raton, FL
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22-01616 | 11/21/2023 | Claimant(s): Eric Chirinsky, Chirinsky Investments LLLP, The Eric Chirinsky Family Trust Claimant Lawyers(s): Andrew M. Greenidge Respondent(s): Juda Schechter, Mariner dba Mariner Wealth Advisors Respondent Lawyers(s): Howard J. Rosenburg Arbitrator(s): Robert Steven Haught Hearing Site: Boca Raton, FL
| | Expungement |
23-00829 | 11/20/2023 | Claimant(s): Michelle Rodriguez Claimant Lawyers(s): Roberto C. Quinones Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina-Velez Arbitrator(s): Christopher J. Klein Hearing Site: San Juan, PR
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