| 20-01072 | 01/19/2023 | Claimant(s): David Smith, The Estate of Clara M. Bell
Claimant Lawyers(s): Scott A. Lane
Respondent(s): Donald Smith, Provident Private Capital Partners.
Respondent Lawyers(s): G. Clinton Kelley
Arbitrator(s): Jeffrey M. Bain, Gary Lee Ainley, Karl Strohbehn
Hearing Site: Cleveland, OH
|  | $93,666 |
| 22-01067 | 01/18/2023 | Claimant(s): Arlo Sullivan
Claimant Lawyers(s): Zachary Morse
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | |
| 20-02339 | 01/17/2023 | Claimant(s): Morgan Stanley, MSSB Financing LLC
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Damian Baird
Respondent Lawyers(s): Damian Mark Baird
Arbitrator(s): Alan Kenneth Scheff, Mark A. Sipper, Joseph Maron Hanna
Hearing Site: Buffalo, NY
| | |
| 22-00659 | 01/17/2023 | Claimant(s): James Kinsey
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): LPL Financial LLC, BB&T Investment Services.
Respondent Lawyers(s): Ella Beres, Rochelle Mayfield
Arbitrator(s): Robert T. Allen, Richard James Igou, Jay Jordan
Hearing Site: Charlotte, NC
| | |
| 21-02374 | 01/17/2023 | Claimant(s): Allen Wagner
Claimant Lawyers(s): Allen B. Wagner
Respondent(s): Kelly Behunin, Fidelity Brokerage Services LLC, Peter Lee, Puja Aggarwal, Robert Burge, FMR, Fidelity Personal & Workplace Advisors, Strategic Advisers LLC
Respondent Lawyers(s): Casey W. Jones, Noah D. Sorkin
Arbitrator(s): Mary Margaret Bush, Philip Aaron Tymon, Diane Duvall
Hearing Site: San Francisco, CA
| | Expungement |
| 21-00721 | 01/17/2023 | Claimant(s): Donald Winter
Claimant Lawyers(s): David Vermont
Respondent(s): Brent Porges, Craig Taddonio, Peter Faggioni
Respondent Lawyers(s): Brent Morgan Porges, Craig Scott Taddonio, Peter Anthony Faggioni
Arbitrator(s): Thomas A. Martin
Hearing Site: Oklahoma City, OK
| | $0 |
| 22-01035 | 01/13/2023 | Claimant(s): William Sammons
Claimant Lawyers(s): Steven J. Berry
Respondent(s): Prudential Equity Group, Morgan Stanley
Respondent Lawyers(s): Jennifer E. Novoselsky, Kathleen Salvaty
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
| | |
| 22-01316 | 01/13/2023 | Claimant(s): David Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 22-01812 | 01/13/2023 | Claimant(s): Stuart Chamberlin
Claimant Lawyers(s): Stuart Craig Chamberlin
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Deidre Wolff
Arbitrator(s): Bart Samuel Cohodas, Edward Alexander Jaffe, John B. Sochacki
Hearing Site: Boca Raton, FL
| | |
| 22-00372 | 01/13/2023 | Claimant(s): Allan Norris, Carol Norris, The Carol D. Norris Estate Planning
Claimant Lawyers(s): Meghan L. McElligott
Respondent(s): Kovack Securities Inc
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Richard W. Dissen
Hearing Site: Columbus, OH
| | Expungement |
