| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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 |
