| 21-00602 | 07/03/2023 | Claimant(s): Charlotte Baldwin, Rand Baldwin
Claimant Lawyers(s): Andrew P. Campbell
Respondent(s): Martin Pospicil, Raymond James Financial Services.
Respondent Lawyers(s): Jordan D. Maglich, Peter S. Fruin
Arbitrator(s): Michael J. Ahlstrom, Jon E Lewis, DeShannon McDonald
Hearing Site: Birmingham, AL
|  | Expungement |
| 22-02803 | 07/03/2023 | Claimant(s): Craig Johnson
Claimant Lawyers(s): Christopher G. Lazarini
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Anchorage, AK
| | |
| 22-02203 | 07/03/2023 | Claimant(s): Brett Weichbrod
Claimant Lawyers(s): Christina Z Vourakis
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | |
| 22-02614 | 07/03/2023 | Claimant(s): Rocio Rivera
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
| | |
| 22-01789 | 07/03/2023 | Claimant(s): Pamela Borders, Pamela Joy Borders Regular Marital Trust
Claimant Lawyers(s): Robert W. Pearce
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kendra S. Campe
Arbitrator(s): Mary Elizabeth Skelnik, Michael Wayne Johnston, Lena Levario
Hearing Site: Dallas, TX
| | $532,846 |
| 22-01862 | 07/03/2023 | Claimant(s): Grace Stavalo
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Veronica Ann Williams, Paul David Hayes, Bradley E Greenberg
Hearing Site: Jersey City, NJ
| | $0 |
| 21-03126 | 07/03/2023 | Claimant(s): Marco Iglesias
Claimant Lawyers(s): Leslie A. Blau
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Peter Ordower, Stuart D. Summers, Jeffrey L. Durkes
Hearing Site: Chicago, IL
| | |
| 22-00864 | 06/30/2023 | Claimant(s): David Soble
Claimant Lawyers(s): John E. Sutherland
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Gene M. Bauer, Michael P. Breton, Thomas M. Madden
Hearing Site: Boston, MA
| | $0 |
| 20-00721 | 06/30/2023 | Claimant(s): Insight Securities.
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Deutsche Bank Securities., Gloria Molina, Pascal Landrove, Reynaldo Figueiredo
Respondent Lawyers(s): David G. Januszewski
Arbitrator(s): Christopher J. Klein, Richard Lewis Zack, Mark A. Jacoby
Hearing Site: Boca Raton, FL
| | |
| 22-01682 | 06/30/2023 | Claimant(s): Stephen Caton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
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