20-04055 | 07/07/2023 | Claimant(s): Grant Montgomery Claimant Lawyers(s): John Phillips Respondent(s): Carter, Terry & Company. Respondent Lawyers(s): Scott Holcomb Esq. Arbitrator(s): Barry Goldman, Lynn Hirschfeld Brahin, Brenda Adams Hearing Site: St. Louis, MO
| | $100,000 |
18-02978 | 07/07/2023 | Claimant(s): Liet Han Claimant Lawyers(s): Blaine H. Bortnick Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Michael J. Charlillo Arbitrator(s): Linda J. Baer, Sean F. Monahan, Mitchell Regenbogen Hearing Site: New York, NY
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22-02235 | 07/07/2023 | Claimant(s): Andrew Kuo, Bradley Kaiser Claimant Lawyers(s): Jeffrey K. Compton Respondent(s): Western International Securities. Respondent Lawyers(s): Donald Bizub Arbitrator(s): Mary M. O'Neil, Kirtley M. Thiesmeyer, Sidney Kinji Kanazawa Hearing Site: Los Angeles, CA
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21-02359 | 07/07/2023 | Claimant(s): Donna Dubroja Trust UA 11/19/09 Claimant Lawyers(s): Phyllis Sower Respondent(s): Christopher Wiedmar, Gregory Russell, Mitchell Barnes, Northwestern Mutual Investment Services Respondent Lawyers(s): Joel Wertman Arbitrator(s): Frederick Ramos, Raymond M. Kirtley, Jerry Gale McGrew Hearing Site: Louisville, KY
| | Expungement |
22-00324 | 07/06/2023 | Claimant(s): Amir Golzar Claimant Lawyers(s): Zachary Morse Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jason E. Murtagh Arbitrator(s): Sandra L. Malek Hearing Site: Los Angeles, CA
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22-02034 | 07/06/2023 | Claimant(s): Anita Brennan, Marina Tudela Claimant Lawyers(s): Leslie Flores Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR Respondent Lawyers(s): Rey F. Medina Velez Arbitrator(s): Christopher J. Klein Hearing Site: San Juan, PR
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23-00032 | 07/05/2023 | Claimant(s): Arthur Rifflard, Arthur Rifflard IRA Claimant Lawyers(s): Courtney M. Werning Respondent(s): Cambridge Investment Research. Respondent Lawyers(s): Shea O'Brien Hicks Arbitrator(s): Vincent S. Mezinko Hearing Site: Columbus, OH
| | $0 |
23-00102 | 07/05/2023 | Claimant(s): Edward Sheinwald Claimant Lawyers(s): Edward Sheinwald Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): John E. Bersin Arbitrator(s): Mark C. Perry Hearing Site: Boca Raton, FL
| | $300 |
22-01055 | 07/03/2023 | Claimant(s): Paul Mattera Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Edward Jones Respondent Lawyers(s): Charles E. Raynal Arbitrator(s): Patricia Ann Tracey Hearing Site: Raleigh, NC
| | Expungement |
22-02799 | 07/03/2023 | Claimant(s): Edward Dawson Claimant Lawyers(s): Stephan Louviere Respondent(s): Wells Fargo Clearing Services, RBC Capital Markets LLC Respondent Lawyers(s): Leyla Bari, Nuviah Shirazi Arbitrator(s): Benjamin F. Breslauer Hearing Site: San Diego, CA
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