| 22-00322 | 10/18/2022 | Claimant(s): Marat Kushner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Laura A. Kaster
Hearing Site: Baltimore, MD
| | |
| 22-00327 | 10/18/2022 | Claimant(s): Scott Rosenberg
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Gerry E. Feinberg, Mary P. Bass, Kathleen Cawley
Hearing Site: New York, NY
| | |
| 21-00175 | 10/18/2022 | Claimant(s): Lori Limebeer
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Marc Kalish, Patrick Irvine, Thomas James Walsh
Hearing Site: Phoenix, AZ
|  | Expungement |
| 20-01504 | 10/18/2022 | Claimant(s): Stephen Zaminski
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): Karen J. Orlin, Albert Rizzo, Qiana Martin
Hearing Site: New York, NY
| | $0 |
| 19-01839 | 10/18/2022 | Claimant(s): Linda O'Donnell
Claimant Lawyers(s): Thomas C. Costello
Respondent(s): TD Ameritrade., Peter Keating, United Planners' Financial Services
Respondent Lawyers(s): Erinn M. Maguire, Gerry Kowalski
Arbitrator(s): Jay B. Bachar, Catherine Esther Bocskor, Robert J. Kirkner
Hearing Site: Baltimore, MD
| | $244,344 |
| 17-00464 | 10/17/2022 | Claimant(s): Richard Lanpher
Claimant Lawyers(s): Michael C. Mahoney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kimberley E. Lunetta
Arbitrator(s): Robert Benbow Phillips, Leonard Arthur Nelson, Richard Beens
Hearing Site: Minneapolis, MN
| | |
| 22-00293 | 10/17/2022 | Claimant(s): Brian Kurland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Portland, OR
| | |
| 22-00516 | 10/17/2022 | Claimant(s): David Thompson
Claimant Lawyers(s): James P. Galvin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): John P. Cullem, Stuart Sinai, Philip L. Manczak
Hearing Site: Tampa, FL
| | |
| 22-00798 | 10/17/2022 | Claimant(s): Kurt Jackson
Claimant Lawyers(s): Richard A. D'Amura
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Michael Pedlow
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
| | |
| 22-00081 | 10/17/2022 | Claimant(s): Karen Binder
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Jim Geiger, Michael J. Henke, Donita M. King
Hearing Site: Richmond, VA
| | Expungement |
