| 23-00716 | 10/12/2023 | Claimant(s): Colleen Rosenberg Tod
Claimant Lawyers(s): William B. Young
Respondent(s): Cape Securities.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
|  | Expungement |
| 22-02594 | 10/12/2023 | Claimant(s): Ernest Musgrave
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
| | |
| 23-00186 | 10/12/2023 | Claimant(s): Stephen Haff
Claimant Lawyers(s): Stephen August Haff
Respondent(s): Brian Wakefield, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Igor V. Stadnik
Arbitrator(s): Thomas R. Dreiling, Kate Jacobson, Leslie Elliot Maerov
Hearing Site: Seattle, WA
| | $0 |
| 22-02304 | 10/12/2023 | Claimant(s): Joel Swartz, Germantown Imaging Associates
Claimant Lawyers(s): Joel D. Swartz
Respondent(s): Erik Snyder, Fidelity Brokerage Services LLC, Rich Hargis
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Lorrie E Whitfield
Hearing Site: Philadelphia, PA
| | $0 |
| 22-00666 | 10/12/2023 | Claimant(s): Nikita Griffin
Claimant Lawyers(s): Nikita J. Griffin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Harvey R. Linder, Melissa Lianne George, Vincent Ray Davis
Hearing Site: Atlanta, GA
| | $0 |
| 23-00628 | 10/11/2023 | Claimant(s): Heidi Leeds, Laurence Leeds
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-02522 | 10/11/2023 | Claimant(s): Federico Lopez Juarbe
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
| | |
| 23-01323 | 10/11/2023 | Claimant(s): Anjali Aiyappa, Ashok Aiyappa, Kavitha Aiyappa
Claimant Lawyers(s): Ashok Aiyappa
Respondent(s): Gregory Nerantzis, Merrill Lynch Pierce Fenner & Smith Inc., Peter Ambrose
Respondent Lawyers(s): Kathryn B. Rockwood
Arbitrator(s): David Paul Clark, Michael James Malone, Raymond Winston Suarez
Hearing Site: Washington, DC
| | Dismissed by Rule 12504 |
| 23-01058 | 10/11/2023 | Claimant(s): Diane Alves
Claimant Lawyers(s): Diane Alves
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Mark G. Materna
Arbitrator(s): David S. Billet
Hearing Site: Jersey City, NJ
| | $0 |
| 22-02272 | 10/11/2023 | Claimant(s): Patrick Hanratty
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers, Jr.
Arbitrator(s): Mark A. Myers
Hearing Site: New Orleans, LA
| | Expungement |
