| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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 |
