18-03640 | 12/20/2022 | Claimant(s): Felipe Benedit Bueno, Janette Lindenmann, Benedit Holdings Co. Claimant Lawyers(s): Robert Wayne Pearce Respondent(s): Popular Securities. Respondent Lawyers(s): Nathan W. Lamb Arbitrator(s): Andrea U. Calve, G. Dennis Sheehan, Victor Calderon Hearing Site: San Juan, PR
| | Expungement |
20-00159 | 12/19/2022 | Claimant(s): William Barkow Claimant Lawyers(s): Richard Roth Respondent(s): Joseph Alagna, Stephan Stein, Joseph Gunnar & Co. LLC Respondent Lawyers(s): Angela A. Turiano Arbitrator(s): Daniel Robbins, Peter McClellan Wright, Vivian Rivera Drohan Hearing Site: New York, NY
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22-00242 | 12/19/2022 | Claimant(s): Gregory McLean Claimant Lawyers(s): Stuart E. Finer Respondent(s): Royal Alliance Associates. Respondent Lawyers(s): Greg Curley, Esq. Arbitrator(s): Ira A. Auerbach Hearing Site: Syracuse, NY
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22-00291 | 12/19/2022 | Claimant(s): Kerry Moy Claimant Lawyers(s): Harris Freedman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Joyce L. Hurley Hearing Site: Los Angeles, CA
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22-00560 | 12/19/2022 | Claimant(s): Erin Daniels Claimant Lawyers(s): Dochtor Kennedy Respondent(s): BMO Harris Financial Advisors. Respondent Lawyers(s): Maria L. Kreiter Arbitrator(s): Floyd Gerry Hoffman Hearing Site: Phoenix, AZ
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22-00824 | 12/19/2022 | Claimant(s): William Krebs Claimant Lawyers(s): Sarah Ali Burroughs Respondent(s): Pension Planners Securities., Voya Financial Advisors. Respondent Lawyers(s): Christina Vourakisorate Office Arbitrator(s): Michael W. Burnett, Milton N. Gross, Cherie S. Lewis Hearing Site: Los Angeles, CA
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21-01864 | 12/19/2022 | Claimant(s): Susan Hebert, on Behalf of IRA Claimant Lawyers(s): Susan Hebert Respondent(s): LPL Financial LLC, Howard Romero Respondent Lawyers(s): Rochelle Mayfield Arbitrator(s): Robert D. Sussin, Theodore G. Bradpiece, Noel Harvey Applebaum Hearing Site: Los Angeles, CA
| | Expungement |
22-02518 | 12/19/2022 | Claimant(s): Dilek Uzun Claimant Lawyers(s): Dilek Uzun Respondent(s): Harry Zwick Respondent Lawyers(s): Robert L. Herskovits Arbitrator(s): Nancy Kramer Hearing Site: New York, NY
| | Expungement |
22-01513 | 12/19/2022 | Claimant(s): Sussan Hashemi Claimant Lawyers(s): Sussan Hashemi Respondent(s): TD Ameritrade. Respondent Lawyers(s): Jennifer A. Stevens Arbitrator(s): Arocles Aguilar Hearing Site: San Francisco, CA
| | $0 |
22-00342 | 12/16/2022 | Claimant(s): Bobby James Claimant Lawyers(s): Dochtor Kennedy Respondent(s): VSR Financial Services., EDI Financial., Rushmore Securities Corporation Respondent Lawyers(s): David Feldstein, Dewey Malone Moore, Martin Prinz Arbitrator(s): Frances Johnson Wright, Franklin Lewis Broyles Hearing Site: Dallas, TX
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