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
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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
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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 |