| 22-01105 | 06/07/2023 | Claimant(s): Bryan Rigg
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Cantella & Co..
Respondent Lawyers(s): Jonathan W. Lanstein
Arbitrator(s): Nicole T. LeBoeuf, Douglas Wade Carvell, Russell Phillips Gandy
Hearing Site: Dallas, TX
| | |
| 22-01537 | 06/07/2023 | Claimant(s): David Pitlor
Claimant Lawyers(s): David Pitlor
Respondent(s): Garrett Wynne, Charles Schwab & Co.., TD Ameritrade., Stacy Fries
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Rochelle E. Dillard, Susan L. Walker, Matthew Rothchild
Hearing Site: Omaha, NE
| | Dismissed by Rule 12504 |
| 22-02422 | 06/07/2023 | Claimant(s): Viviana Perez Cordero
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Sara L. Velez Santiago
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
| 20-01209 | 06/07/2023 | Claimant(s): Len Ventura
Claimant Lawyers(s): Lance C. McCardle
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew W. Sidman
Arbitrator(s): Joan Maxine Secofsky, Keely D. Parr, Alfred D Peters
Hearing Site: New York, NY
|  | Expungement |
| 22-01798 | 06/07/2023 | Claimant(s): Michael Bosl
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Cheryl H. Agris
Hearing Site: New York, NY
| | |
| 22-02033 | 06/06/2023 | Claimant(s): Molly Shrauner
Claimant Lawyers(s): Harris Freedman
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Richard W. Epstein
Hearing Site: Boca Raton, FL
| | |
| 22-02257 | 06/06/2023 | Claimant(s): Gale Brodie
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Waddell & Reed, MSI Financial Services.
Respondent Lawyers(s): Ariel N. Brotman, Mike West
Arbitrator(s): Gary A. Hooker, Philip Aaron Tymon, Bruce J Highman
Hearing Site: San Francisco, CA
| | |
| 20-04186 | 06/05/2023 | Claimant(s): Chad Tenkley IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Martin M. Van Luven
Hearing Site: Tampa, FL
| | Expungement |
| 21-00419 | 06/05/2023 | Claimant(s): Robert Simonian
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Irit Walters
Arbitrator(s): Catherine Stewart
Hearing Site: Providence, RI
| | Expungement |
| 22-00980 | 06/05/2023 | Claimant(s): Jeffrey Gerson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Alexander Schwed
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | |
