17-00546 | 05/25/2023 | Claimant(s): Gerard Costello, Matthew Buchsbaum, Scott Rosenberg, Sonia Attkiss Claimant Lawyers(s): Robert Miller Respondent(s): Credit Suisse Securities (USA) LLC Respondent Lawyers(s): Stephen M. Kramarsky Arbitrator(s): Sam Antar, Alan Robert Sacks, Jason Lowe Hearing Site: New York, NY
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21-02699 | 05/25/2023 | Claimant(s): Beverly Ranken Claimant Lawyers(s): Adam B. Wolf Respondent(s): Independent Financial Group. Respondent Lawyers(s): Jonathan M. Sterling Arbitrator(s): Barbara M. Anscher, Jon H. Sylvester, David Handsher Hearing Site: San Francisco, CA
| | Expungement |
21-01387 | 05/24/2023 | Claimant(s): Pascal Desrosiers Claimant Lawyers(s): Aklilu Dunlap Respondent(s): Truist Investment Services. Respondent Lawyers(s): Thomas DeFranco Arbitrator(s): Charles R. Manzoni, Peter N. Thompson, Jo Anne F. Lewellen Hearing Site: Minneapolis, MN
| | $0 |
22-01509 | 05/24/2023 | Claimant(s): Robert Jordan Claimant Lawyers(s): Kalju Nekvasil Respondent(s): Austin Dutton, Primex Respondent Lawyers(s): Austin Richard Dutton, Wil Felix Arbitrator(s): Elliot B. Platt, Gail Marie Noel, Namsoo Marcus Dunbar Hearing Site: Philadelphia, PA
| | $43,645 |
22-02058 | 05/24/2023 | Claimant(s): Rodrigo Jolig Claimant Lawyers(s): Ethan Andrew Brecher Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Keely D. Parr, Kellisia Hazlewood, Rick Rutman Hearing Site: New York, NY
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22-02376 | 05/24/2023 | Claimant(s): Rajiv Sharma Claimant Lawyers(s): Rajiv Narendrakumar Sharma Respondent(s): Melissa Campbell Respondent Lawyers(s): Melissa Leigh Campbell Arbitrator(s): Susan C Lushing, April D. Bowie, Michael J. Perinelli Hearing Site: New York, NY
| | $0 |
23-00020 | 05/24/2023 | Claimant(s): Spartan Capital Securities Claimant Lawyers(s): Robert Fitzpatrick Respondent(s): Samuel Girgiss Respondent Lawyers(s): Samuel Girgiss Arbitrator(s): Albert Rizzo Hearing Site: New York, NY
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22-02074 | 05/23/2023 | Claimant(s): Jason Hawke Claimant Lawyers(s): Jennifer Poole Farrar Respondent(s): LPL Financial LLC, J. P. Turner & Company LLC Respondent Lawyers(s): David Feldstein, Kelsey Vasko Arbitrator(s): Daniel M. Yamshon Hearing Site: Boise, ID
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22-02256 | 05/23/2023 | Claimant(s): Martin Petela Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Buckman, Buckman & Reid., Windsor Street Capital Respondent Lawyers(s): John W. Stalanski, John Murphy Arbitrator(s): Richard W. Vallario, Steven Gary Leventhal, Samuel A. Pilcer Hearing Site: New York, NY
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23-00356 | 05/23/2023 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC Claimant Lawyers(s): Erin Friel Elmore Respondent(s): Ramon Perez Respondent Lawyers(s): Ramon Paul Perez Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX
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