22-01013 | 12/07/2022 | Claimant(s): James Leo Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Summit Financial Services Group. Respondent Lawyers(s): Charles Sax Arbitrator(s): John T. Hausladen, Joseph J. Dougherty, Louis P. Wagman Hearing Site: Philadelphia, PA
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22-00868 | 12/06/2022 | Claimant(s): Stephen Williams Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): NEXT Financial Group. Respondent Lawyers(s): John T. Unger Arbitrator(s): Harvey R. Linder, Nathan Allen Collins, Cynthianther May Hearing Site: Birmingham, AL
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19-03072 | 12/06/2022 | Claimant(s): Kanwaljit (Ken) Bakshi Claimant Lawyers(s): Edward H. Glenn Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Melissa J. Gworek Arbitrator(s): Leslie L. Cooney, Edward R. Niederriter, Robert G. Falbisaner Hearing Site: Boca Raton, FL
| | Expungement |
22-01609 | 12/06/2022 | Claimant(s): The Hermes Family Trust Claimant Lawyers(s): Courtney Werning Respondent(s): Gregory Fockler, Royal Alliance Associates. Respondent Lawyers(s): Gregory Curley Arbitrator(s): Robert J. Scafuri Hearing Site: Cleveland, OH
| | $10,600 |
21-02507 | 12/05/2022 | Claimant(s): Michael Miller Claimant Lawyers(s): Gregg Adler Respondent(s): TD Private Client Wealth LLC Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Edward S. Hill, Patrick Leo Kennedy, Peter E. Gillespie Hearing Site: Hartford, CT
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21-02947 | 12/05/2022 | Claimant(s): Joseph Scotto Claimant Lawyers(s): Benjamin J. Biard Respondent(s): Morgan Stanley Respondent Lawyers(s): Jeremy S. Weiner Arbitrator(s): Harvey Barrison, Jeffrey P. Bachmann, John Warner Lowe Hearing Site: New York, NY
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22-00364 | 12/05/2022 | Claimant(s): Jason Abbamonte Claimant Lawyers(s): Harris Freedman Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Christopher F. Robertson Arbitrator(s): Kenneth R. Starr Hearing Site: Tampa, FL
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22-00418 | 12/05/2022 | Claimant(s): Jeffrey Golubeff Claimant Lawyers(s): Samantha Pastor Respondent(s): Invest Financial Corporation, J.W. Cole Financial Inc. Respondent Lawyers(s): John Hitchings, Samuel N. Kopmar Arbitrator(s): John P. Cullem Hearing Site: Tampa, FL
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22-02135 | 12/05/2022 | Claimant(s): Harrison Hoyes Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Charlotte S. Wolfe Arbitrator(s): Annamaria Boccia Smith Hearing Site: Jersey City, NJ
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22-00151 | 12/02/2022 | Claimant(s): Gregory Feldman Claimant Lawyers(s): Zachary Morse Respondent(s): Lord Abbett Distributor LLC Respondent Lawyers(s): Gerry Kowalski Arbitrator(s): Nanci Sondra Landy Hearing Site: Boca Raton, FL
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