| 23-03128 | 11/26/2024 | Claimant(s): Jane Cao
Claimant Lawyers(s): Harris Freedman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Emma M. Tomsick
Arbitrator(s): Jeffrey L. Malek
Hearing Site: Los Angeles, CA
| | |
| 24-00444 | 11/26/2024 | Claimant(s): Subhojit Bose
Claimant Lawyers(s): Marc D. Schifanelli
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Luca Provenzano
Arbitrator(s):
Hearing Site: Washington, DC
| | |
| 24-00565 | 11/26/2024 | Claimant(s): J Mckelvy
Claimant Lawyers(s): Brian Luther
Respondent(s): Morgan Stanley, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, Jeffrey P. Palmer
Arbitrator(s): Richard H. Potter, Thomas R. Dreiling, Kenneth W. Gosliner
Hearing Site: San Francisco, CA
| | |
| 23-00983 | 11/26/2024 | Claimant(s): Nelson Rodriguez Fernandez
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey Medina
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
| | |
| 24-00375 | 11/25/2024 | Claimant(s): Razell Smart
Claimant Lawyers(s): Alexander Padla
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene
Arbitrator(s): John Winslow Griesser
Hearing Site: Orlando, FL
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| 23-02289 | 11/25/2024 | Claimant(s): Wendy Kosberg Starr Trust Dated 9/24
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): A.J. Borrelli
Arbitrator(s): Mary Elizabeth Skelnik, Michael Wayne Johnston, Kenneth Joe Gold
Hearing Site: Dallas, TX
|  | Expungement |
| 22-02717 | 11/25/2024 | Claimant(s): Jeffrey Hannah
Claimant Lawyers(s): Jeffrey Hannah
Respondent(s): Thomas Hampton, MML Investors Services
Respondent Lawyers(s): Jennifer P. Farrar, Julie E. Ravis
Arbitrator(s): G. Maynard Green
Hearing Site: Birmingham, AL
| | Expungement |
| 24-01107 | 11/22/2024 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin MacAvoy
Respondent(s): Jared Dulski
Respondent Lawyers(s): Jared Dulski
Arbitrator(s): William E. Nuckel, Mitchell Regenbogen, Michael McDermott
Hearing Site: New York, NY
| | |
| 24-01453 | 11/22/2024 | Claimant(s): Stuart Tweedie
Claimant Lawyers(s): Stuart Tweedie
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Michael Evan Beckman
Hearing Site: Los Angeles, CA
| | $0 |
| 22-00320 | 11/22/2024 | Claimant(s): Todd Mercer
Claimant Lawyers(s): Michael Liftik
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart Roberts
Arbitrator(s): F. Bradford Johnson
Hearing Site: Louisville, KY
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