| 23-01147 | 11/08/2023 | Claimant(s): Ryan Wroblewski
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
| | |
| 21-01965 | 11/08/2023 | Claimant(s): Julie O'Rourke
Claimant Lawyers(s): Pierre Ciric
Respondent(s): Morgan Stanley, Kathleen Entwistle, UBS Financial Services Inc.
Respondent Lawyers(s): Amanda Parisi, Anastasia B. Wohar, David I. Hantman
Arbitrator(s): Oliver W. Williams, Andrew M. Schmertz, Richard Gary Stelnik
Hearing Site: New York, NY
|  | Expungement |
| 23-00721 | 11/08/2023 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Ira N. Glauber
Respondent(s): Christopher Armstrong, Randall Kiefner
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Jeffrey Alan Helewitz, Jeffrey Zuckerman, Serge Krimnus
Hearing Site: Jersey City, NJ
| | |
| 23-00417 | 11/08/2023 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric D. Raphan
Respondent(s): Jason Kurtz
Respondent Lawyers(s): Jason Mark Kurtz
Arbitrator(s): Kendall C. Reed
Hearing Site: Denver, CO
| | |
| 23-01481 | 11/08/2023 | Claimant(s): B. Riley Wealth Management
Claimant Lawyers(s): Emily Hayes
Respondent(s): Timothy Breslin
Respondent Lawyers(s): Timothy James Breslin
Arbitrator(s): George Forest Bingham
Hearing Site: Philadelphia, PA
| | |
| 23-00051 | 11/08/2023 | Claimant(s): Garth Wilson
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Alyson A. Terrell
Arbitrator(s): Linda J. Baer
Hearing Site: New York, NY
| | |
| 23-01139 | 11/07/2023 | Claimant(s): Benjamin Young
Claimant Lawyers(s): Kathleen Patchel
Respondent(s): Securities America.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 22-02978 | 11/07/2023 | Claimant(s): Carlos Fernandez
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): David Aaron DeSoto
Hearing Site: Houston, TX
| | |
| 23-01612 | 11/07/2023 | Claimant(s): Adrienne Rowles
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Ameriprise Financial Services, Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff, Howard M. Klausmeier
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | |
| 20-01090 | 11/07/2023 | Claimant(s): Olga Gorodetsky, Yuri Gorodetsky
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Garry T. Stevens
Arbitrator(s): Michael J. Meeusen, Joan M. Esserman, Mary Carmen Fontana
Hearing Site: St. Louis, MO
| | $135,678 |
