22-00905 | 08/03/2023 | Claimant(s): Thomas Cleary Claimant Lawyers(s): Jeremy L. Bartell Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Andrew W. Sidman Arbitrator(s): Jane C. Carney, Kathy Davidson Ireland, David Ivan Brochstein Hearing Site: Washington, DC
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22-01989 | 08/03/2023 | Claimant(s): Tastyworks. Claimant Lawyers(s): Thomas G. Haskins Respondent(s): Tin Tran Respondent Lawyers(s): Tin Tran Arbitrator(s): Arthur J. Giacomarra, Michael Jay Rich, Frank Sanclemente Hearing Site: Boston, MA
| | $204,742 |
22-02452 | 08/02/2023 | Claimant(s): Mei Guo Claimant Lawyers(s): Christina Z. Vourakis Respondent(s): Cetera Investment Services. Respondent Lawyers(s): David Smitham Arbitrator(s): Robert D. Sussin Hearing Site: Los Angeles, CA
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23-00287 | 08/02/2023 | Claimant(s): Sean Satterfield Claimant Lawyers(s): Samantha Pastor Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Terry M Lloyd Hearing Site: Honolulu, HI
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22-01670 | 08/02/2023 | Claimant(s): Peter Corrick Claimant Lawyers(s): Matthew Thibaut Respondent(s): LPL Financial LLC Respondent Lawyers(s): Rochelle Mayfield Arbitrator(s): Fern M. Laethem Hearing Site: Las Vegas, NV
| | Expungement |
21-03139 | 08/02/2023 | Claimant(s): Catherine Brown, Denise Correia Claimant Lawyers(s): August M. Iorio Respondent(s): David Lerner Associates. Respondent Lawyers(s): Michael G. Shannon Arbitrator(s): Gregory Hunter Mathews, Robert M. Singer, Michael R. Ricci Hearing Site: Hartford, CT
| | Expungement |
22-01103 | 08/01/2023 | Claimant(s): Nicholas Donovan, Nicholas & Antonieta Garcia Donovan Claimant Lawyers(s): Sanford Mitchell Passman Respondent(s): Herbert Messick, Cetera Advisor Networks LLC Respondent Lawyers(s): David Smitham Arbitrator(s): Steven H. Gentry Hearing Site: Los Angeles, CA
| | Expungement |
23-00661 | 07/31/2023 | Claimant(s): Elizabeth Ferreri Claimant Lawyers(s): Ronald A. Zamansky Respondent(s): John Hancock Investment Management Distr Respondent Lawyers(s): David J. Freniere Arbitrator(s): B. John Dill Hearing Site: Boston, MA
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22-00154 | 07/31/2023 | Claimant(s): Rami Alrwais Claimant Lawyers(s): Rami Alrwais Respondent(s): Robinhood Financial. Respondent Lawyers(s): William M. Turner Arbitrator(s): Barbara M. Zak, Marc David Wilde, Robert D. Coviello Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12511/12212 |
22-00084 | 07/31/2023 | Claimant(s): Eric Garofano, The Advisory and Management Group. Claimant Lawyers(s): Aaron Israels Respondent(s): Sean McDevitt Respondent Lawyers(s): Kevin J. Woods Arbitrator(s): Michael Harrison, Richard Maurice Robinson, McKinley Perkins Hearing Site: Los Angeles, CA
| | Expungement |