| 23-00933 | 10/27/2023 | Claimant(s): James Ugobono
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
| | |
| 23-01725 | 10/27/2023 | Claimant(s): Spencer Hyde
Claimant Lawyers(s): Spencer Roderick Hyde
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Atlanta, GA
|  | $435 |
| 23-01814 | 10/27/2023 | Claimant(s): Hooman Jarollahi, Monireh Moayedi Pour Fard
Claimant Lawyers(s): Hooman Jarollahi
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | $425 |
| 21-00202 | 10/26/2023 | Claimant(s): Salah Uddin
Claimant Lawyers(s): Salah Uddin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Harris L. Kay
Arbitrator(s): Michael C. Anigbogu, Shawn Ridgell, Gary Kostow
Hearing Site: San Francisco, CA
| | $0 |
| 22-02132 | 10/26/2023 | Claimant(s): Melvin Holson
Claimant Lawyers(s): Marc S. Gottlieb
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Roger Fox
Respondent Lawyers(s): Kathryn B. Rockwood
Arbitrator(s): Judith C. Zerden, John J. Mager, Paul Smith Besson
Hearing Site: New York, NY
| | $0 |
| 22-00521 | 10/26/2023 | Claimant(s): Mary Ann Miller, Estate of Angeline Cagliola
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): David M. Snyder, Kenneth R. Starr, Jacquelyn M. Shannon
Hearing Site: Tampa, FL
| | Expungement |
| 23-01276 | 10/26/2023 | Claimant(s): Robert Coyne
Claimant Lawyers(s): Robert Coyne
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
| | $0 |
| 22-02263 | 10/25/2023 | Claimant(s): Loretta Bynum
Claimant Lawyers(s): Courtney Werning
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Robert J. Scafuri, Barry Goldman, Mark Gregory Brackon
Hearing Site: Detroit, MI
| | $125,000 |
| 23-01749 | 10/25/2023 | Claimant(s): Dennis Delmastro
Claimant Lawyers(s): Dennis Delmastro
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): John W. Eichleay
Hearing Site: Pittsburgh, PA
| | $3,665 |
| 21-01135 | 10/25/2023 | Claimant(s): Yehuda Lasry
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Serge Krimnus, Andrew Daniel Levine, Cynthia Kouril
Hearing Site: New York, NY
| | $0 |
