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