20-01074 | 08/22/2023 | Claimant(s): Robert A. Garvy Restated Revocable Trust Claimant Lawyers(s): Matthew N. Thibaut Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David L. Goldberg Arbitrator(s): Kimberly A. Gilmour Hearing Site: Boca Raton, FL
| | Expungement |
22-00075 | 08/22/2023 | Claimant(s): Allen Chick Claimant Lawyers(s): David Vermont Respondent(s): John Slipek, Joseph Amato, Nick Filippo, Alexander Capital, L.P. Respondent Lawyers(s): Scott Holcomb Arbitrator(s): Peter Khalil Hearing Site: Portland, OR
| | Expungement |
22-01356 | 08/22/2023 | Claimant(s): Fondo De Inversion Privado FRC, Inversiones Don Fernando Spa Claimant Lawyers(s): Jason P. Gottlieb Respondent(s): CGIS Securities LLC Respondent Lawyers(s): Curtis Carlson Arbitrator(s): William Kent Brown, Ellen J. Abrams, Michael Adam Gross Hearing Site: Boca Raton, FL
| | $0 |
22-02855 | 08/22/2023 | Claimant(s): Kenneth Smith IRA Claimant Lawyers(s): Chase Carlson Respondent(s): LPL Financial LLC Respondent Lawyers(s): Neil S. Baritz Arbitrator(s): Kenneth R. Starr, Michael Anthony Barrella, Kevin M Schmitt Hearing Site: Tampa, FL
| | Expungement |
21-00203 | 08/21/2023 | Claimant(s): Karen Busch Claimant Lawyers(s): Barry R. Lax Respondent(s): Morgan Stanley Respondent Lawyers(s): Jeremy S. Winer Arbitrator(s): Benjamin L. Anderson, Howard Alan Grinsberg, Qiana Martin Hearing Site: New York, NY
| | $1,800,000 |
23-01049 | 08/21/2023 | Claimant(s): Robert Nanos Claimant Lawyers(s): Robert L. Nanos Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): Edward A. Trabin Hearing Site: Las Vegas, NV
| | $25 |
23-00210 | 08/21/2023 | Claimant(s): Jon Newman Claimant Lawyers(s): Brandon M. Taaffe Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Richard W. Cutler, Jay Alan Kranis, Lynda Kommel-Browne Hearing Site: New York, NY
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22-02583 | 08/18/2023 | Claimant(s): Michelle Rodriguez Claimant Lawyers(s): Roberto C. Quinones Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina Arbitrator(s): Christopher J. Klein Hearing Site: San Juan, PR
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23-00352 | 08/18/2023 | Claimant(s): Timothy Hawkins Claimant Lawyers(s): Jon M. Stanfield Respondent(s): VSR Financial Services. Respondent Lawyers(s): David Feldstein Arbitrator(s): Mark S. Foster, David Evans Rosedahl, M W Gear Hearing Site: Des Moines, IA
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23-00025 | 08/18/2023 | Claimant(s): Robert Weissbein Claimant Lawyers(s): Jessica E. Levine Respondent(s): First Allied Securities., Capital Guardian Respondent Lawyers(s): Jeremy Wooden, Sandro L. Ramos Arbitrator(s): Steven Gerard Goerke Hearing Site: Boca Raton, FL
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