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
| | |