| 22-00124 | 11/21/2022 | Claimant(s): Tim Clairmont
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Woodbury Financial Services., Lion Street Financial
Respondent Lawyers(s): Carie Heckler, Jennifer R. Cox
Arbitrator(s): James E. Bartels, Reuel Kenneth Fish, Lisa Vioni
Hearing Site: Portland, OR
| | |
| 22-00818 | 11/21/2022 | Claimant(s): Christopher Bice
Claimant Lawyers(s): Garry T. Stevens
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Judith E. Gross, Linda J. Baer, Denise C. Sagua
Hearing Site: New York, NY
| | |
| 22-01296 | 11/21/2022 | Claimant(s): Kevin Sanchez
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart Rebish
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 22-02288 | 11/21/2022 | Claimant(s): Joseph Rodriguez
Claimant Lawyers(s): Jennifer Woods Burke
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Jennifer Woods Burke
Arbitrator(s): Linda J. Baer
Hearing Site: Jersey City, NJ
| | |
| 22-02286 | 11/18/2022 | Claimant(s): William Hennion
Claimant Lawyers(s): Jennifer Woods Burke
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Jennifer Woods Burke
Arbitrator(s): Sam Antar
Hearing Site: Jersey City, NJ
| | |
| 21-02686 | 11/18/2022 | Claimant(s): Jerome Destigter IRA
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Maxim Beliakov
Respondent Lawyers(s): Maxim Beliakov
Arbitrator(s): Deanna M. Tuley
Hearing Site: Omaha, NE
|  | $0 |
| 21-02356 | 11/18/2022 | Claimant(s): David Chaplin, Dustin Mccurdy, Gary Carlisle, Joseph Acquarulo, Mark Siegel, Marvin Rietema, Michael Backus, Richard Curry, Stanley Fleischer, Stuart Vander Laan
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Worden Capital Management LLC, Jamie Worden
Respondent Lawyers(s): Jamie John Worden
Arbitrator(s): Bryan Lane Berson, Charles Platto, Kene Erike
Hearing Site: New York, NY
| | $895,364 |
| 20-00772 | 11/17/2022 | Claimant(s): Mark Damer, Damer Wealth Management LLC
Claimant Lawyers(s): Jacob M. O'Brien
Respondent(s): David A. Noyes & Company, Sanctuary Advisors LLC, Sanctuary Wealth Group LLC
Respondent Lawyers(s): Kevin C. Rasp
Arbitrator(s): Gary P. Price, Sherrill Wm Colvin, William Vance Hughes
Hearing Site: Indianapolis, IN
| | |
| 22-00058 | 11/17/2022 | Claimant(s): Bhadresh Shah
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John Murphy, W. Preston Martin
Arbitrator(s): Robert Rosen, Adam Michael Porter, Yvonne YingFan Yiu
Hearing Site: Los Angeles, CA
| | |
| 22-00657 | 11/17/2022 | Claimant(s): Brent Ure
Claimant Lawyers(s): James P Galvin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Louis M. Parker, Ann H. Nevers, Nancy Lynn Boyd
Hearing Site: Las Vegas, NV
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