| 22-00709 | 11/07/2022 | Claimant(s): Robert Krieger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Clive I. Morrick
Hearing Site: New York, NY
| | |
| 19-02832 | 11/07/2022 | Claimant(s): Abrahm Family Trust
Claimant Lawyers(s): Jacob Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Joseph C. Watson, Robert B. Hansohn, Michael John Florio
Hearing Site: Los Angeles, CA
|  | Expungement |
| 19-02328 | 11/07/2022 | Claimant(s): Carl Abdalian
Claimant Lawyers(s): Robert Souren Abdalian
Respondent(s): Douglas Vollette, Fidelity Brokerage Services LLC, Todd Williams
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): John C. Aten
Hearing Site: Cleveland, OH
| | $0 |
| 22-00493 | 11/07/2022 | Claimant(s): Brian Birkes
Claimant Lawyers(s): Brian C. Birkes
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Maryanne M. Esser
Hearing Site: Little Rock, AR
| | $4,371 |
| 21-02996 | 11/04/2022 | Claimant(s): Sameh Elmazahy
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Charlton Young
Arbitrator(s): Bryan Lane Berson, Lorrie E Whitfield, Lynda Kommel-Browne
Hearing Site: New York, NY
| | |
| 22-00444 | 11/04/2022 | Claimant(s): Doel Garcia Romero
Claimant Lawyers(s): Ubaldo M. Fernandez
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
| | |
| 22-00481 | 11/03/2022 | Claimant(s): Neil Gagnon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Gilder Gagnon Howe & Co. LLC
Respondent Lawyers(s): Elizabeth Curran
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
| | |
| 21-01929 | 11/02/2022 | Claimant(s): Richard Sholty
Claimant Lawyers(s): Zachary Morse
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Sarah Malik
Arbitrator(s): Jeffrey E. Skogsbergh, Edith N. Dinneen, David Harvey Failer
Hearing Site: Los Angeles, CA
| | |
| 22-00112 | 11/01/2022 | Claimant(s): Thomas Hine
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities Service Network
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Catherine Stewart
Hearing Site: Hartford, CT
| | |
| 22-00224 | 11/01/2022 | Claimant(s): Peter Shanahan
Claimant Lawyers(s): Robert J. Moses
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Richard James Igou
Hearing Site: Charlotte, NC
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