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
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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
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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
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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
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