| 23-00702 | 11/07/2023 | Claimant(s): Fady Nakhla
Claimant Lawyers(s): Fady Milad Nakhla
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Charlton Young
Arbitrator(s): Peter L. Michaelson, Justin Gregory Anuario, Justin Escher Alpert
Hearing Site: Jersey City, NJ
| | |
| 23-01328 | 11/06/2023 | Claimant(s): Gareth Evans
Claimant Lawyers(s): William Bean
Respondent(s): Dominick & Dickerman LLC
Respondent Lawyers(s): Robert M. Hladek
Arbitrator(s): Ira A. Auerbach
Hearing Site: New York, NY
| | |
| 23-01402 | 11/06/2023 | Claimant(s): Loreen Gilbert
Claimant Lawyers(s): Bryce M Cullinane
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Michael West
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
| | |
| 23-00547 | 11/06/2023 | Claimant(s): Ray Anthony San Pedro
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Denise L. Quarles, Michele S. Riley, Joanne Sari Feld
Hearing Site: New York, NY
| | |
| 23-01036 | 11/06/2023 | Claimant(s): Christopher Norton
Claimant Lawyers(s): Joshua A Katz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Randy R Freedman, Michael Ross, Barry David Thorpe
Hearing Site: Boca Raton, FL
| | |
| 22-01908 | 11/06/2023 | Claimant(s): Janice Mecca, Laurence Brown, Robert Mecca, Brown Family Maintenance Trust, Brown Revocable Trust, Donald M Brown Income Provider Trust
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ages Financial Services, Ltd.
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Andrea J. Goldman, Peter M Cosel, Stephen James McLaughlin
Hearing Site: Boston, MA
|  | $246,114 |
| 22-00501 | 11/06/2023 | Claimant(s): Disruptive Ventures
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Erika Mckiernan, Greg Brogger, Forge Securities LLC
Respondent Lawyers(s): Daniel Zinman, David A. Kotler
Arbitrator(s): Peter A. Goldman, Laura Carraher, Ira A. Auerbach
Hearing Site: New York, NY
| | Expungement |
| 22-00904 | 11/03/2023 | Claimant(s): Pamela Snow, Terry Snow
Claimant Lawyers(s): Matt Wolper
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): C Marcus Harris, Frank V. Tutone, Alicia Mitchell-Mercer
Hearing Site: Charlotte, NC
| | $0 |
| 22-02483 | 11/03/2023 | Claimant(s): Evelyn Foose
Claimant Lawyers(s): Evelyn Foose
Respondent(s): Richard Reames
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Sandra Mendel Furman, Barbara E. Dixon, Ann Marie Hansen
Hearing Site: Columbus, OH
| | $0 |
| 23-00561 | 11/02/2023 | Claimant(s): Jack Brkich
Claimant Lawyers(s): Jessica E. Levine
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Smitham
Arbitrator(s): Adam Michael Porter
Hearing Site: Los Angeles, CA
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