| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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 |
