22-02536 | 08/31/2023 | Claimant(s): Ralph Adamo Claimant Lawyers(s): Harris Freedman Respondent(s): FSC Securities Corporation Respondent Lawyers(s): Gregory M. Curley Arbitrator(s): Kirtley M. Thiesmeyer Hearing Site: Los Angeles, CA
| | |
22-00307 | 08/31/2023 | Claimant(s): Roxanne Gottlieb Claimant Lawyers(s): Anthony F. Fata Respondent(s): Matrix Capital Advisors Respondent Lawyers(s): John M. O'Bryan Arbitrator(s): Thomas Michael Genovese, Dianne Marie Onichimowski, Richard Michael Stanton Hearing Site: Chicago, IL
| | $0 |
22-02680 | 08/31/2023 | Claimant(s): Gunnar Zipp Claimant Lawyers(s): Gunnar P. Zipp Respondent(s): Acorns Securities Respondent Lawyers(s): Ian P. Weschler Arbitrator(s): Kevin J. Demet Hearing Site: Milwaukee, WI
| | $0 |
21-02855 | 08/30/2023 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Scott A. La Porta Respondent(s): Jeffrey McHale Respondent Lawyers(s): Steven N. Fuller Arbitrator(s): Hearing Site: Boston, MA
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21-02535 | 08/30/2023 | Claimant(s): A. Link Partners. Claimant Lawyers(s): Bruce D. Johnson Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): David Libowsky Arbitrator(s): Howard L. Sobel, Norman Feit, Mitchell H Rubinstein Hearing Site: New York, NY
| | Expungement |
22-01195 | 08/30/2023 | Claimant(s): James Fayssoux, Sr. Claimant Lawyers(s): Kalju Nekvasil Respondent(s): SW Financial Respondent Lawyers(s): Axos Clearing Arbitrator(s): Roger C. Benson, Bernadette F. Rasmussen, William Finley Hamel Hearing Site: Columbia, SC
| | $3,193,550 |
22-00853 | 08/29/2023 | Claimant(s): Irum Abbasi Claimant Lawyers(s): Irum Abbasi Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Heidi E. VonderHeide Arbitrator(s): Joseph Neal Richardson, Eric Ross Cromartie, Robert Barton McLeroy Hearing Site: Dallas, TX
| | $0 |
22-02406 | 08/29/2023 | Claimant(s): Michael Madison Claimant Lawyers(s): Michael Rashad Madison Respondent(s): Cash App Investing LLC Respondent Lawyers(s): Kevin J. Woods Arbitrator(s): Patrick R. Sughroue, Michael J. Meeusen, Timothy Guerriero Hearing Site: Detroit, MI
| | Dismissed by Rule 12504 |
22-00408 | 08/29/2023 | Claimant(s): Rafael Friederichsen Claimant Lawyers(s): S. Bruce Hiran Respondent(s): BBVA Securities Inc. Respondent Lawyers(s): John O. Lukanski Arbitrator(s): Daniel J. Pagnano, Brian James Tagtmeier, Katherine Parsley Hearing Site: Houston, TX
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19-03510 | 08/28/2023 | Claimant(s): Thatcher J. Fields Gift Trust Claimant Lawyers(s): Jacob H. Zamansky Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Anthony J. Borrelli Arbitrator(s): Louis H Miron, Julius Z. Frager, Bruce Arthur Blessington Hearing Site: Montpelier, VT
| | Expungement |