| 22-00951 | 07/28/2023 | Claimant(s): Holden Green
Claimant Lawyers(s): Holden Green
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Ralph A. Cotton, William W. Haskell, Lowell H. Haky
Hearing Site: San Francisco, CA
|  | Dismissed by Rule 12504/12212 |
| 22-00203 | 07/28/2023 | Claimant(s): United Planners' Financial Services Of A
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Dan Droeg
Respondent Lawyers(s): Mark D. Chester
Arbitrator(s): Floyd Gerry Hoffman, Raymond George Seifritz, Wilbur Thomas Eggleston
Hearing Site: Phoenix, AZ
| | |
| 22-02184 | 07/28/2023 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John B. Clark
Respondent(s): Daniel Snodgrass
Respondent Lawyers(s): Daniel Stephen Snodgrass
Arbitrator(s): George Forest Bingham
Hearing Site: Philadelphia, PA
| | |
| 22-02044 | 07/27/2023 | Claimant(s): Matthew Roberson
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Dustin J. Tirpak, Nuviah Shirazi
Arbitrator(s): Kevin C. Coleman
Hearing Site: San Francisco, CA
| | |
| 21-01764 | 07/27/2023 | Claimant(s): Michael Ohlemacher
Claimant Lawyers(s): Heather B. Middleton
Respondent(s): W&S Brokerage Services., Western and Southern Life Ins Company
Respondent Lawyers(s): Matthew C. Blickensderfer
Arbitrator(s): Sandra Franklin, Dandridge Floyd, David Robert Murray
Hearing Site: Detroit, MI
| | |
| 22-02637 | 07/26/2023 | Claimant(s): Carlos Pou
Claimant Lawyers(s): Leslie Y. Flores
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Stuart K. Furman
Hearing Site: San Juan, PR
| | |
| 22-02804 | 07/26/2023 | Claimant(s): Elliott Johnson
Claimant Lawyers(s): Christopher G. Lazarini
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Seattle, WA
| | |
| 22-02258 | 07/26/2023 | Claimant(s): Ronald Carazo
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Securities America.
Respondent Lawyers(s): Justin Sacca
Arbitrator(s): Robert H. Putnam, Eric M. Schorr, Ralph Hamilton Schofield
Hearing Site: New Orleans, LA
| | |
| 20-01120 | 07/26/2023 | Claimant(s): Health and Wellness Lifestyle Club LLC
Claimant Lawyers(s): Richard Frankowski
Respondent(s): Carolyn Valentine, H. Beck.
Respondent Lawyers(s): Joseph C. Campo, Richard A. D'Amura
Arbitrator(s): Mark R. Lee, George Richard Najjar, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | $0 |
| 20-03379 | 07/26/2023 | Claimant(s): Andrew Wysocki, Dean Wysocki
Claimant Lawyers(s): Michael Hill
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Samuel H. Chorches, Peter E. Gillespie, Ilene J Feldman
Hearing Site: Hartford, CT
| | Expungement |
