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 |