23-02513 | 08/16/2024 | Claimant(s): Jason Russo Claimant Lawyers(s): Thomas P. McEvoy Respondent(s): Laidlaw & Company (UK) Ltd. Respondent Lawyers(s): Charles Smulevitz Arbitrator(s): Michele S. Riley Hearing Site: New York, NY
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24-00747 | 08/16/2024 | Claimant(s): Stonex Advisors., Stonex Securities Inc. Claimant Lawyers(s): Peter J. Tepley Respondent(s): William Hocutt Respondent Lawyers(s): Anne T. Freeland Arbitrator(s): Steven P. Gregory, Ronald Childress, Grace Almanza Phillips Hearing Site: Birmingham, AL
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23-02670 | 08/16/2024 | Claimant(s): Jeffrey McDonald Claimant Lawyers(s): Craig A. Riha Respondent(s): Morgan Stanley Respondent Lawyers(s): Gina Shlaferman Arbitrator(s): Richard S. Zaifert, Steele Thomas Williams, Philip L. Manczak Hearing Site: Tampa, FL
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22-00809 | 08/16/2024 | Claimant(s): Ariel Tavor Claimant Lawyers(s): Ariel Tavor Respondent(s): Hornor, Townsend & Kent. Respondent Lawyers(s): Paula D. Shaffner Arbitrator(s): Jill Pilgrim Hearing Site: New York, NY
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23-02942 | 08/15/2024 | Claimant(s): Michael Whitaker Claimant Lawyers(s): Tosh Grebenik Respondent(s): NewBridge Securities Corp. Respondent Lawyers(s): G. Robert Abrams Arbitrator(s): Warren A. Forest, Christopher J. Klein Hearing Site: Orlando, FL
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23-01662 | 08/15/2024 | Claimant(s): Raymond James Financial Services. Claimant Lawyers(s): Peter S. Fruin Respondent(s): Anthony Paul, Nicholas Hamilton Respondent Lawyers(s): Kevin D. Galbraith Arbitrator(s): Joseph M. Costello, Michael J Norton, Rick Gale Doty Hearing Site: Denver, CO
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23-03188 | 08/14/2024 | Claimant(s): David Moran, David Moran on behalf of his IRA account Claimant Lawyers(s): Matthew N. Thibaut Respondent(s): LPL Financial LLC Respondent Lawyers(s): Kelsey Vasko Arbitrator(s): Robert D. Sussin, Joseph Alfred Davis, Howard Clark Posner Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
21-02983 | 08/14/2024 | Claimant(s): Herbert White, Suzanne Charrin Claimant Lawyers(s): David Olsky Respondent(s): Brian Marston, Kimberly Dale Respondent Lawyers(s): James N. Thomaidis, Patrick Gillette Arbitrator(s): Charles G. Michaels, Adam Michael Porter, Robert Lee Walters Hearing Site: Denver, CO
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24-00496 | 08/14/2024 | Claimant(s): Hiive Markets Limited Claimant Lawyers(s): Marc M. Yenicag Respondent(s): Nextgentech Investments LLC Respondent Lawyers(s): Corporate Office Arbitrator(s): Steven Gary Leventhal Hearing Site: New York, NY
| | $95,500 |
19-03217 | 08/13/2024 | Claimant(s): Narinder Gupta, Suman Gupta Claimant Lawyers(s): Narinder Gupta, Suman D. Gupta Respondent(s): Ameriprise Financial Services, Michael Hannon Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Lynne R. Stern, Karen Roberts Washington, Genevieve Anderson Hearing Site: New Orleans, LA
| | Expungement |