| 23-03215 | 10/11/2024 | Claimant(s): Shanita Gray, Dinner with the Grays Incorporated
Claimant Lawyers(s): Shanita R. Gray
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): John James Rubin, Susan Warshauer Kennicott, Elizabeth Berry West
Hearing Site: Atlanta, GA
|  | $0 |
| 23-02562 | 10/10/2024 | Claimant(s): Christopher Alvarez
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Karen Roberts Washington, Chermaine Nkomo, Tricia R DeLeon
Hearing Site: Dallas, TX
| | |
| 23-03484 | 10/10/2024 | Claimant(s): Annmarie Cronin
Claimant Lawyers(s): Michael J. DeSantis
Respondent(s): Fidelity Brokerage Services LLC, Empower Retirement LLC
Respondent Lawyers(s): Daniel C. Fleming, Rebecca E. Swenson
Arbitrator(s): Terrance J. Nolan
Hearing Site: New York, NY
| | $39,731 |
| 24-00059 | 10/09/2024 | Claimant(s): Doris Schake, Jason Schake
Claimant Lawyers(s): Doris Schake
Respondent(s): OSAIC Wealth
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Peter N. Thompson, LaVon C. Phillips, Ansis Viksnins
Hearing Site: Minneapolis, MN
| | $0 |
| 19-03181 | 10/09/2024 | Claimant(s): Richard Hveem
Claimant Lawyers(s): Mark L.. Parmelee
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Jennifer W. Burke
Arbitrator(s): Edith M. Novack
Hearing Site: Jersey City, NJ
| | |
| 23-03068 | 10/08/2024 | Claimant(s): Michael Loren Koehler IRA 401K Plan
Claimant Lawyers(s): Roberta Ann Koehler
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin Sinclair
Arbitrator(s): Douglas J. Nesbit, Phyllis Karasov, William M. Azkoul
Hearing Site: Minneapolis, MN
| | $300 |
| 23-02895 | 10/08/2024 | Claimant(s): Shawn Spellacy
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Saad Rahmouni Idrissi
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 24-00737 | 10/08/2024 | Claimant(s): Joseph Darpel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Joseph J. Dougherty, Paul E. Dahlman, Michele S. Riley
Hearing Site: St. Louis, MO
| | |
| 22-02774 | 10/08/2024 | Claimant(s): Carol Sbarbaro
Claimant Lawyers(s): Carol L. Sbarbaro
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lawrence G. Barbot
Arbitrator(s): Michael J. Ahlstrom, Mimi B. Osiason, Dana Tait Sandlin
Hearing Site: Columbia, SC
| | Expungement |
| 23-02989 | 10/07/2024 | Claimant(s): Gregory Bodkin, Jerry Bileski
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Worden Capital Management LLC
Respondent Lawyers(s): Jamie J. Worden
Arbitrator(s): Susan C Lushing, Ellyn S. Roth, Alejandro Santana
Hearing Site: New York, NY
| | |
