| 22-01294 | 08/28/2024 | Claimant(s): Jane Hagelstein, Jane A. Hagelstein Roth IRA
Claimant Lawyers(s): Darlene Pasieczny
Respondent(s): Caryn Alles, Morgan Stanley
Respondent Lawyers(s): Emily Z. Culbertson
Arbitrator(s): John M. Casey, Bryon Scott, Crystal Rose O'Grady
Hearing Site: Portland, OR
|  | $0 |
| 21-01883 | 08/27/2024 | Claimant(s): Brock E. Milstein Trustee FBO Trust
Claimant Lawyers(s): David E. Robbins
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Carrie M. Stickel
Arbitrator(s): Robert M. Shwab, Robert H. Baker, Kevin Brodar
Hearing Site: Cleveland, OH
| | $0 |
| 22-02807 | 08/27/2024 | Claimant(s): Chrisandra Delesky, Jonathan Provoost
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Paul Allan Massaro, Jay Alan Kranis, David Patrick Syring
Hearing Site: Jersey City, NJ
| | Expungement |
| 24-00940 | 08/27/2024 | Claimant(s): Tashay Myrick
Claimant Lawyers(s): Tashay Myrick
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Thomas P. Valenti
Hearing Site: Chicago, IL
| | $0 |
| 23-01087 | 08/27/2024 | Claimant(s): Scott Berenson
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Nancy J. Cliff, Richard Kuper, Nancy Rosenbaum Kessler
Hearing Site: Boca Raton, FL
| | Expungement |
| 23-01024 | 08/26/2024 | Claimant(s): Samuel Wyman
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Gilford Securities.
Respondent Lawyers(s): Bonnie Sachs
Arbitrator(s): Paul C. Kurland, Adam J. Ciffone, Melnia Annero Cordis
Hearing Site: New York, NY
| | |
| 22-01477 | 08/26/2024 | Claimant(s): Brad Vermilyea
Claimant Lawyers(s): David W. Miller
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Katherine L. Schuerman
Arbitrator(s): Mary C. Davis, Joshua Joseph Paiva, Lynda Riebel
Hearing Site: Denver, CO
| | $117,557 |
| 24-00309 | 08/26/2024 | Claimant(s): Jameson Van Houten
Claimant Lawyers(s): Benjamin Biard
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Jonathan French
Arbitrator(s): Monica I. Salis, Gregory D. Hoffmann, John R. Wylie
Hearing Site: Phoenix, AZ
| | |
| 23-02882 | 08/26/2024 | Claimant(s): Dan Wagner
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Arkadios Capital
Respondent Lawyers(s): Gary Schwartz
Arbitrator(s): Harvey R. Linder
Hearing Site: Columbia, SC
| | |
| 23-02544 | 08/26/2024 | Claimant(s): Andre Selfa
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Michael D. Weiner, Mark Lee Haggard, Ian Matthew Green
Hearing Site: Portland, OR
| | |
