| 23-01038 | 09/22/2023 | Claimant(s): Kyle Schiffler
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Kevin W. Brooks
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
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| 22-02558 | 09/22/2023 | Claimant(s): Michael Mcintyre
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): Jerome F. Crotty, Henry G. Nothnagel, Steven H. Vogel
Hearing Site: Chicago, IL
| | |
| 21-02389 | 09/20/2023 | Claimant(s): Catalina Borrero
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jennifer Tomsen
Arbitrator(s): Harvey Barrison, Alexander Asher Truitt, Sandra M Stephenson-Peterkin
Hearing Site: New York, NY
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| 21-02258 | 09/19/2023 | Claimant(s): Blake Epstein, Stanley Kiec
Claimant Lawyers(s): Alan Rosca
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Megan VerGow
Arbitrator(s): Mark H. Stein, Thomas E Kopil, James Christie
Hearing Site: Philadelphia, PA
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| 22-02759 | 09/19/2023 | Claimant(s): Brad Martin
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): MML Investors Services
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Louis H Miron
Hearing Site: Montpelier, VT
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| 23-01581 | 09/19/2023 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Todd Barden
Respondent Lawyers(s): Todd J Barden
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Milwaukee, WI
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| 21-02335 | 09/19/2023 | Claimant(s): Estate of Catherine Nicholson
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Anna K. Stark
Arbitrator(s): Steven N. Ainbinder, Kimberly A. Gilmour, Stephen John Gohlke
Hearing Site: Boca Raton, FL
|  | Expungement |
| 21-02839 | 09/18/2023 | Claimant(s): David Vosicher, David S. Vosicher IRA Rollover, David S. Vosicher IRA Roth
Claimant Lawyers(s): David S. Vosicher
Respondent(s): George Strong, Strong Wealth Management LLC
Respondent Lawyers(s): Kevin K. Fitzgerald
Arbitrator(s): Robert B. Hansohn, Richard Andrew Roupoli, Andrew Levy
Hearing Site: Los Angeles, CA
| | $150,000 |
| 22-02517 | 09/18/2023 | Claimant(s): Angel Canabal
Claimant Lawyers(s): Russell Del Toro Parra
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
| 22-02278 | 09/18/2023 | Claimant(s): Donovan Davis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Simeon B. Reimonenq
Hearing Site: New Orleans, LA
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