| 21-01490 | 12/23/2022 | Claimant(s): Randy Erickson
Claimant Lawyers(s): Donna Hernandez
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Kathryn Bartolomucci
Arbitrator(s): Ann Blaess Kimball, Andrea U. Calve, Patricia Ann Nolan
Hearing Site: Dallas, TX
|  | $21,303 |
| 22-00531 | 12/22/2022 | Claimant(s): Derrick Andrews
Claimant Lawyers(s): Samantha Pastor
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle B. Mayfield
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Reno, NV
| | |
| 22-00723 | 12/22/2022 | Claimant(s): Julian Marturano
Claimant Lawyers(s): Brian Luther
Respondent(s): Equitable Advisors, Woodbury Financial Services.
Respondent Lawyers(s): Jennifer R. Cox, Michael J. Biondi
Arbitrator(s): Douglas M. Branson
Hearing Site: Pittsburgh, PA
| | |
| 22-00937 | 12/22/2022 | Claimant(s): Carlos Pou
Claimant Lawyers(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Elena G. Rodriguez
Hearing Site: San Juan, PR
| | |
| 22-02260 | 12/22/2022 | Claimant(s): William Shreve
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Susan L. Walker
Hearing Site: Omaha, NE
| | |
| 21-00204 | 12/22/2022 | Claimant(s): Carol Boogher, Joel Boogher
Claimant Lawyers(s): Joseph C. Korsak
Respondent(s): Michael Nigro, MML Investors Services
Respondent Lawyers(s): Barry Temkin, Julie E. Ravis
Arbitrator(s): Richard W. Dissen, Michael D. McDowell, Mary Kathleen Mackey
Hearing Site: Pittsburgh, PA
| | Expungement |
| 21-02163 | 12/22/2022 | Claimant(s): Gary Pittman, Sandra Pittman, Publications and Communications., Pittco Ltd.
Claimant Lawyers(s): Peter M. Spett
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Keith J. Barnett
Arbitrator(s):
Hearing Site: Dallas, TX
| | Expungement |
| 20-02670 | 12/22/2022 | Claimant(s): Moody National DST Sponsor
Claimant Lawyers(s): Douglas A. Daniels
Respondent(s): Charles Schwab & Co.., Zachariah Bickers
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Stephanie E. Simmons, William Guy Arnot, Stephen Neil Foster
Hearing Site: Houston, TX
| | $0 |
| 20-04189 | 12/22/2022 | Claimant(s): Tika Ventures LLC
Claimant Lawyers(s): Michael Hill
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Marc Kalish, Kathy L. Eisenmenger, Donald Dreyfus
Hearing Site: Salt Lake City, UT
| | $0 |
| 22-00948 | 12/21/2022 | Claimant(s): Nick Alexander
Claimant Lawyers(s): David Harrison
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
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