20-01536 | 11/01/2022 | Claimant(s): Joseph Hardoon Claimant Lawyers(s): Eliott Berman Respondent(s): Edward Jones, Janice Hardoon, Thomas D'Arcangelo Respondent Lawyers(s): David B. Felsenthal, Joseph N. Nguyen Arbitrator(s): Martin L. Feinberg, Karen Isabel Bedrosian - Richardson, Paul C. Tang Hearing Site: New York, NY
| | Expungement |
21-02870 | 10/31/2022 | Claimant(s): Douglas Osborn Claimant Lawyers(s): Philip J. Weipert Respondent(s): Concorde Investment Services Respondent Lawyers(s): Scott Holcomb Arbitrator(s): Jeffry M. Bauer Hearing Site: Detroit, MI
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22-00173 | 10/31/2022 | Claimant(s): Stuart Updegrove Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): National Securities Corporation, Eastbrook Capital Group LLC Respondent Lawyers(s): Edward Sampson, Emily A. Hayes Arbitrator(s): Eugene G. P. Byrne, Mark Joseph Hyland Hearing Site: New York, NY
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22-00786 | 10/31/2022 | Claimant(s): Robert Tansey Claimant Lawyers(s): Frederic M. Krieger Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Leyla Bari Arbitrator(s): Michele S. Riley Hearing Site: New York, NY
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22-01464 | 10/31/2022 | Claimant(s): Morgan Stanley Claimant Lawyers(s): Erin Friel Elmore Respondent(s): Perry Skudlarczyk Respondent Lawyers(s): Perry Lee Skudlarczyk Arbitrator(s): G. Maynard Green Hearing Site: Houston, TX
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21-00274 | 10/28/2022 | Claimant(s): Thomas Krauss Claimant Lawyers(s): Daniel J. Kaiser Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): James McQuade Arbitrator(s): Camille S. Cooper, Kenneth Paul Williams, Karen J. Orlin Hearing Site: New York, NY
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22-00256 | 10/28/2022 | Claimant(s): Douglas Everett Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services., Voya Financial Advisors. Respondent Lawyers(s): Christina Vourakis, Howard M. Klausmeier Arbitrator(s): Katherine Hendricks Hearing Site: Portland, OR
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22-00454 | 10/28/2022 | Claimant(s): Carlos Ubinas Taylor Claimant Lawyers(s): Ubaldo M. Fernandez-Barrera 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
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21-00200 | 10/28/2022 | Claimant(s): Diane Jacobson, Jeffrey Jacobson Claimant Lawyers(s): Christopher J. Moyen Respondent(s): Morgan Stanley Respondent Lawyers(s): Trae D. Meyr Arbitrator(s): Martin M. Van Luven, Jessica Shaw, Jennifer Lavoie Hearing Site: Tampa, FL
| | $0 |
21-01804 | 10/28/2022 | Claimant(s): Steven Brown Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Worden Capital Management LLC, Jamie Worden Respondent Lawyers(s): Jaime Worden Arbitrator(s): Stanley H. Michelstetter Hearing Site: Rapid City, SD
| | $68,263 |