| 22-02852 | 08/18/2023 | Claimant(s): Stephen Hekimian
Claimant Lawyers(s): Harris Freedman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | |
| 23-00237 | 08/18/2023 | Claimant(s): Christopher Ortiz
Claimant Lawyers(s): Seth N. Bursky
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Madelyn A. Levy, Jeanne M. Keefe, Denise Sagua
Hearing Site: New York, NY
| | |
| 23-00071 | 08/17/2023 | Claimant(s): Korsa Nzidee
Claimant Lawyers(s): Joseph P. Allgor
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY
| | |
| 23-00647 | 08/16/2023 | Claimant(s): Susquehanna Financial Group, LLLP, Susquehanna International Group, LLP
Claimant Lawyers(s): Roni Mathew
Respondent(s): Mitchell Martin
Respondent Lawyers(s): Mitchell Martin
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
| | |
| 21-01866 | 08/16/2023 | Claimant(s): Clifford Capps, Mary Martin, Patricia Capps, Raymond Capps, Terry Wheeler, Wanda Wheeler
Claimant Lawyers(s): Courtney C. Gipson
Respondent(s): Norman McNeill, McNeill Financial Advisory
Respondent Lawyers(s): K. Phillip Luke
Arbitrator(s): J. Wesley Romine, Kearney Dee Hutsler, Michael Odom
Hearing Site: Birmingham, AL
|  | $674,902 |
| 22-02970 | 08/16/2023 | Claimant(s): William Durrant
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Esther Iglesias, Lucio Ojeda, Maria Ojeda
Respondent Lawyers(s): Esther Iglesias, Lucio Ojeda, Maria Ojeda
Arbitrator(s): Kathy A. Tatone, Thomas J. Patka, Caroline Josephine Welsh
Hearing Site: Tampa, FL
| | Expungement |
| 23-00715 | 08/16/2023 | Claimant(s): Hector Gongora
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Byron Crowe
Arbitrator(s): Anthony Marchese, Susan C Lushing, Evdokia Sofos
Hearing Site: New York, NY
| | |
| 22-02754 | 08/15/2023 | Claimant(s): James Moran
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Capitol Securities Management.
Respondent Lawyers(s): David J. Freniere, Laura A. Pizzitola
Arbitrator(s): Veronica Ann Williams
Hearing Site: Jersey City, NJ
| | |
| 23-00190 | 08/15/2023 | Claimant(s): Eduardo Smith
Claimant Lawyers(s): Guillermo J. Silva-Wiscovich
Respondent(s): First Southern
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Steven Gerard Goerke
Hearing Site: San Juan, PR
| | $300 |
| 22-02756 | 08/14/2023 | Claimant(s): Alan Fong
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | $0 |
