22-02142 | 02/07/2023 | Claimant(s): Peter Clark Claimant Lawyers(s): Peter T. Clark Respondent(s): CICC US Securities. Respondent Lawyers(s): Janell Ahnert Arbitrator(s): Alice E. Winkler Hearing Site: New York, NY
| | |
22-00616 | 02/07/2023 | Claimant(s): Anita Brennan Claimant Lawyers(s): Roberto C. Quinones-Rivera Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR Respondent Lawyers(s): Rey F. Medina Velez Arbitrator(s): Christopher J. Klein Hearing Site: San Juan, PR
| | |
20-02864 | 02/07/2023 | Claimant(s): Dominic Ismert, Ismert, OBO his DSGND Benefit Plan/TOD Claimant Lawyers(s): Jason Haselkorn Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Gordon C. Young Arbitrator(s): Henry R Cox, Lawrence R. Maxwell, Nancy S. Brown Hearing Site: Kansas City, MO
| | $144,425 |
22-01150 | 02/07/2023 | Claimant(s): Patric Stibbe Claimant Lawyers(s): Patric Stibbe Respondent(s): T3 Trading Group Respondent Lawyers(s): Robert M. Bursky Arbitrator(s): John J. Flynn, David I. Levine, Timothy P. Bogan Hearing Site: San Francisco, CA
| | |
20-02993 | 02/06/2023 | Claimant(s): John Orlando Claimant Lawyers(s): Todd A. Zuckerbrod Respondent(s): Blake Levy, Joseph Alagna, Stephan Stein, Joseph Gunnar & Co. Respondent Lawyers(s): Peter Bon Viso Arbitrator(s): Randy R Freedman, Jeffrey R. Roth, Carl Henry Perdue Hearing Site: Boca Raton, FL
| | |
22-01962 | 02/06/2023 | Claimant(s): Isabel Haigler 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
| | |
22-01280 | 02/06/2023 | Claimant(s): Billy Wong Claimant Lawyers(s): Billy Wong Respondent(s): Shearman, Ralston Inc. Respondent Lawyers(s): Douglas P. Ralston Arbitrator(s): Anna M. Fanelli, Lisa Lograno, Ai Ling Zhou Hearing Site: New York, NY
| | |
21-02261 | 02/06/2023 | Claimant(s): Rahim Jiwa Claimant Lawyers(s): Ryan Cook Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Gordon C. Young Arbitrator(s): Jacqueline R. Fox, Denise Ereka Peterson, Vincent Vereen Hearing Site: Houston, TX
| | Expungement |
22-01404 | 02/02/2023 | Claimant(s): Jean Haas Claimant Lawyers(s): Jason J. Kane Respondent(s): LPL Financial LLC Respondent Lawyers(s): Rochelle Mayfield Arbitrator(s): Irving L. Faught, Karen Roberts Washington, Sally Jane Murray Hearing Site: Oklahoma City, OK
| | |
21-02831 | 02/02/2023 | Claimant(s): Lawrence Denisoff Claimant Lawyers(s): Jennifer P. Farrar Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Michael Naccaraato Arbitrator(s): Lawrence R. Maxwell, Subvet West, Diego Jesus Pena Hearing Site: Dallas, TX
| | Expungement |