23-01998 | 11/09/2023 | Claimant(s): LPL Financial LLC Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Marlon Scott Respondent Lawyers(s): Marlon Keith Scott Arbitrator(s): Heather Gaile Layton Hearing Site: Houston, TX
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23-01059 | 11/09/2023 | Claimant(s): Mark Romaine Claimant Lawyers(s): Craig A. Riha Respondent(s): A. G. Edwards & Sons. Respondent Lawyers(s): Mark A. Pratzel Arbitrator(s): Susan Manca Hearing Site: New York, NY
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22-01471 | 11/09/2023 | Claimant(s): Jessie Wheat Claimant Lawyers(s): Nicholas H. Berg Respondent(s): LPL Financial LLC, William Poulter Respondent Lawyers(s): Matthew Bohenek Arbitrator(s): Jo-Marie Lisa, Brian James Tagtmeier, Nadine Michele Ramsey Hearing Site: New Orleans, LA
| | Expungement |
23-00365 | 11/09/2023 | Claimant(s): Patrick Murphy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Roxanna V. Gonzalez Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN
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23-00773 | 11/09/2023 | Claimant(s): Peter Lenane Claimant Lawyers(s): Christopher P. Milazzo Respondent(s): CIBC World Markets Corp. Respondent Lawyers(s): Elizabeth R. Aylett Arbitrator(s): Larry A. Kimmel, Matthew Fenster, Harvey E. Benjamin Hearing Site: New York, NY
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23-01248 | 11/09/2023 | Claimant(s): Doel Garciaromero Claimant Lawyers(s): Ubaldo M. Fernandez-Barrera Respondent(s): UBS Financial Services Inc. Of PR Respondent Lawyers(s): Rey F. Medina Velez Arbitrator(s): Martin A. Feigenbaum Hearing Site: San Juan, PR
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20-01481 | 11/09/2023 | Claimant(s): Marc Broncucia Claimant Lawyers(s): Paul Vorndran Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Alyson Terrell Arbitrator(s): Michael S. Matek, Steven Meyrich, Mari C. Bush Hearing Site: Denver, CO
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23-01123 | 11/09/2023 | Claimant(s): Rahul Halwasiya Claimant Lawyers(s): Michael P. Gilmore Respondent(s): vFinance Investments Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): Karen Isabel Bedrosian - Richardson Hearing Site: New York, NY
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22-02606 | 11/08/2023 | Claimant(s): Travis Hansberger Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Thrivent Investment Management Inc. Respondent Lawyers(s): Shannon M. Wheaton Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN
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23-00555 | 11/08/2023 | Claimant(s): Rocco Carriero Claimant Lawyers(s): Lawton R. Graves Respondent(s): Michael Langella, Nancy Dubin Respondent Lawyers(s): Michael S. Langella, Nancy Dubin Arbitrator(s): Ann C. Northern, Damien Bosco, Sofia Balile Hearing Site: New York, NY
| | Expungement |