| 22-02662 | 06/23/2023 | Claimant(s): James Ugobono
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Stuart K. Furman
Hearing Site: San Juan, PR
| | |
| 22-01333 | 06/23/2023 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Joshua Maniscalco
Respondent Lawyers(s): Joshua P. Maniscalco
Arbitrator(s): Samuel Olutola Akeju, Montie G. Grimes, Peter Ntephe
Hearing Site: Houston, TX
| | $641,262 |
| 23-00112 | 06/23/2023 | Claimant(s): Richard Reynolds
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): American Capital Partners
Respondent Lawyers(s): John Gardini
Arbitrator(s): David John Reilly
Hearing Site: New York, NY
| | |
| 23-00261 | 06/23/2023 | Claimant(s): Jinsong You
Claimant Lawyers(s): Jinsong You
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kara Moore
Arbitrator(s): Tracy L. Allen
Hearing Site: St. Louis, MO
|  | $0 |
| 22-02766 | 06/23/2023 | Claimant(s): Timothy Hightower
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): Capital Investment Group., WFG Investments.
Respondent Lawyers(s): David Williams, Mickey B. Wright
Arbitrator(s): Thomas W. Allen
Hearing Site: Dallas, TX
| | |
| 22-00664 | 06/23/2023 | Claimant(s): Elaine Holland Royster, Joshua Royster, Elaine Holland Royster IRA
Claimant Lawyers(s): Matt Wolper
Respondent(s): Britt Wright, Iris Israel, James Woods, Oppenheimer & Co.., Julie Jones, Michael Mooney, Penny Flippen, Livingston Group Asset Management Compan
Respondent Lawyers(s): Britt Franklin Wright, Iris Cecelia Israel, James Wallace Woods, Jennifer Greene, Julie A. Jones, Michael Jeremiah Mooney, Penny Gail Flippen, William E. Mahoney
Arbitrator(s): Susan L. Luck, Chase Boone Saunders, James Michael Belk
Hearing Site: Charlotte, NC
| | Settlement |
| 22-02974 | 06/23/2023 | Claimant(s): Ian Landicho
Claimant Lawyers(s): Ian I. Landicho
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
| | $0 |
| 22-01579 | 06/22/2023 | Claimant(s): Carlos Pou
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
| 22-02327 | 06/22/2023 | Claimant(s): Jonathan LeVar
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Paul Allan Massaro
Hearing Site: Jersey City, NJ
| | |
| 21-00247 | 06/22/2023 | Claimant(s): Rance Wallace
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): John James Rubin
Hearing Site: Atlanta, GA
| | Expungement |
