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
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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
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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
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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
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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
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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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