| 22-01395 | 12/02/2022 | Claimant(s): Samuel Head
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Harvey R. Linder, Christopher Cecil Lamb, Larry Kenneth Lott
Hearing Site: Columbia, SC
| | |
| 20-01353 | 12/02/2022 | Claimant(s): Louis Barrood
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Michael Fischetti, Edith M. Novack, Beverly Ann Williams
Hearing Site: Jersey City, NJ
|  | $0 |
| 21-00942 | 12/02/2022 | Claimant(s): Steven Daily
Claimant Lawyers(s): Steven R. Daily
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Las Vegas, NV
| | $0 |
| 20-00452 | 12/02/2022 | Claimant(s): Barbara Moger
Claimant Lawyers(s): Christopher J. Albanese
Respondent(s): Christopher Braccia, Stephen Oliver, First Allied Securities.
Respondent Lawyers(s): Garry T. Stevens
Arbitrator(s): Diane Ciccone, Carol H. Gold, Christin Kim
Hearing Site: Philadelphia, PA
| | Expungement |
| 21-02127 | 12/01/2022 | Claimant(s): Anthony Nowak, Anthony E. Nowak Rev. Trust
Claimant Lawyers(s): Robert Savage
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Gayle B. Carlson, John G. Sciandra, Mark Joseph Mugnaini
Hearing Site: Tampa, FL
| | $11,658,100 |
| 19-02755 | 11/30/2022 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): John Carroll
Respondent Lawyers(s): John Francis Carroll
Arbitrator(s): Kimberly A. Gilmour, Dennis J. Levin, Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | |
| 22-00299 | 11/30/2022 | Claimant(s): Tyrone Chaplin
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Truist Investment Services.
Respondent Lawyers(s): Josef Y. Rosen
Arbitrator(s): Kelli J. Jareaux
Hearing Site: Washington, DC
| | |
| 19-01277 | 11/30/2022 | Claimant(s): Joseph Walsh, Sarah Walsh
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Gerald Silverman, Rosemarie Ann Jannuzzi, Joseph Michael Librie
Hearing Site: Boca Raton, FL
| | Expungement |
| 22-00134 | 11/30/2022 | Claimant(s): Douglas Ziegelmann
Claimant Lawyers(s): Douglas Ziegelmann
Respondent(s): Tornado
Respondent Lawyers(s): Stephen Murphy
Arbitrator(s): Val D. Hornstein
Hearing Site: Bismarck, ND
| | $0 |
| 22-00768 | 11/29/2022 | Claimant(s): Fernando Panizzutti
Claimant Lawyers(s): Jonathan E Neuman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Christopher J. Klein, Ronald David Katz, Richard William Barry
Hearing Site: Boca Raton, FL
| | |
