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
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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
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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
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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
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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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