| 21-02939 | 05/16/2023 | Claimant(s): The Estate of Louise B. Lieber, John Carrell Lieber Family Trust
Claimant Lawyers(s): William R. Ponsoldt
Respondent(s): Christopher Queen
Respondent Lawyers(s): Kyle A. Owens
Arbitrator(s): Leslie L. Cooney, Scott Manker, Peter Joseph Battaglia
Hearing Site: Boca Raton, FL
|  | $54,300 |
| 22-00921 | 05/15/2023 | Claimant(s): John Holly
Claimant Lawyers(s): Samantha Pastor
Respondent(s): JWGenesis Securities., Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Deirdre Wolff, Paul Sankovich
Arbitrator(s): Gerald Silverman
Hearing Site: Boca Raton, FL
| | |
| 22-01027 | 05/12/2023 | Claimant(s): Daniel Dong
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ernst & Young Capital Advisors
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Morton S. Bunis
Hearing Site: New York, NY
| | |
| 22-01936 | 05/12/2023 | Claimant(s): Gene Whobrey, Susanne Whobrey
Claimant Lawyers(s): William B. Young
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): John Hitchings
Arbitrator(s): Charles E. White, Samuel Appel, Olivia Corrie Smith
Hearing Site: Atlanta, GA
| | Dismissed with Rule 12206 |
| 22-01666 | 05/12/2023 | Claimant(s): Joseph Kruse
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): McClellon D. Cox
Arbitrator(s): Maya Steinitz
Hearing Site: Chicago, IL
| | |
| 21-02283 | 05/12/2023 | Claimant(s): Unbnd Group Pty LTD.
Claimant Lawyers(s): Rex A. Mann
Respondent(s): Park Lane IBS, Stonehaven
Respondent Lawyers(s): Michael D. Kibler
Arbitrator(s): Eva H. Posman, Elliot Schnapp, Vincent Louis
Hearing Site: New York, NY
| | |
| 22-01685 | 05/12/2023 | Claimant(s): Allan Babaian
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): National Securities Corporation, Joseph Stone Capital L.L.C.
Respondent Lawyers(s): Damian Maggio, Emily A. Hayes
Arbitrator(s): George G. Kurschner, David I. Stern, Philip Lindsay Bullen
Hearing Site: Boca Raton, FL
| | |
| 22-01920 | 05/12/2023 | Claimant(s): Andrew Massaro
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Anthony Marchese, Susan Romano, Glenn Ravenell
Hearing Site: New York, NY
| | |
| 21-00819 | 05/12/2023 | Claimant(s): Rotem Perelmuter
Claimant Lawyers(s): Geoffrey T. Macbride
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): Jeffrey M. Allen, Dorian Antoine Peters, Nancy Lynne Williamson
Hearing Site: San Francisco, CA
| | $3,976,050 |
| 23-00021 | 05/11/2023 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Robert Fitzpatrick
Respondent(s): Dennis Hanrahan
Respondent Lawyers(s): Dennis Christopher Hanrahan
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
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