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
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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
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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
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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
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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
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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
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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
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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
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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 |