| 23-01131 | 11/13/2023 | Claimant(s): Charles McAfee
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Howard N. Kahn, Will Murphy, Justin Wallace Askins
Hearing Site: Boca Raton, FL
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| 23-01177 | 11/13/2023 | Claimant(s): Chanh Truong
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Ralph A. Cotton
Hearing Site: San Francisco, CA
| | |
| 23-00585 | 11/13/2023 | Claimant(s): Rohin Ullberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Allied Securities., SII Investments.
Respondent Lawyers(s): Eric A. Michaels, Jeremy Wooden
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | |
| 23-01158 | 11/10/2023 | Claimant(s): Allen Ostrofe
Claimant Lawyers(s): John D. Stewart
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Reno, NV
| | |
| 23-01077 | 11/10/2023 | Claimant(s): Joon Rhee
Claimant Lawyers(s): Robert M. Bursky
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Joan Maxine Secofsky, Jill Pilgrim, Jill I. Gross
Hearing Site: New York, NY
| | |
| 23-01371 | 11/10/2023 | Claimant(s): Michael Fantasia
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. PIzzitola
Arbitrator(s): Susanne J. Hollander
Hearing Site: Chicago, IL
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| 23-00137 | 11/10/2023 | Claimant(s): Frances Norman, Joe Norman, Joyce Bowman, Rita Manuel, William Bowman, Frances D. Norman IRA, Joe Bill Norman IRA, Joyce T. Bowman IRA, Rita Manuel IRA, William G. Bowman IRA
Claimant Lawyers(s): Matt Wolper
Respondent(s): James Woods, Oppenheimer & Co.., Julie Jones
Respondent Lawyers(s): James Wallace Woods, Julie Adelle Jones, William E. Mahoney
Arbitrator(s): James Michael Belk, Daniel F. Piar, Sharon Lanette Ervin
Hearing Site: Charlotte, NC
|  | $0 |
| 22-00277 | 11/10/2023 | Claimant(s): Brian Merriam, Judith Merriam
Claimant Lawyers(s): George J. Szary
Respondent(s): Morgan Stanley, Jeffrey Hollander
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): Linda A. Cotton, Jennifer L. Bliss, Thomas M. Madden
Hearing Site: Albany, NY
| | $200,000 |
| 22-00677 | 11/10/2023 | Claimant(s): Robert Hamilton, Robert J. Hamilton IRA
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Louis J. Weber, Karen Roberts Washington, Joseph A. Vicario
Hearing Site: Dallas, TX
| | $0 |
| 23-01422 | 11/10/2023 | Claimant(s): Andrew Rodriguez
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): John P. Cullem
Hearing Site: Jacksonville, FL
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