22-00627 | 10/06/2022 | Claimant(s): Angelo Kafkes Claimant Lawyers(s): Craig Stein Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Edward R. Niederriter, Stephen Kahane, Robert G. Falbisaner Hearing Site: Boca Raton, FL
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22-00760 | 10/06/2022 | Claimant(s): Frank Carrasco Claimant Lawyers(s): Roberto C Quinones Respondent(s): UBS Financial Services Inc., 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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19-00016 | 10/05/2022 | Claimant(s): Arthur Olson Claimant Lawyers(s): James J. Moylan Respondent(s): Morgan Stanley & Co., Kenneth Camarella, Paula Epstein Respondent Lawyers(s): Jeremy S. Winer Arbitrator(s): Ray J. Grzebielski, Sal Presti, Michael R. Sherwin Hearing Site: Chicago, IL
| | $0 |
22-00289 | 10/04/2022 | Claimant(s): Juan Ley Claimant Lawyers(s): Cory L. Braddock Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Paul Yarns Arbitrator(s): Louis M. Parker, Adam Dylan Wick, Carrie Lynette Thompson Jones Hearing Site: Phoenix, AZ
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22-00417 | 10/04/2022 | Claimant(s): Kristan Gregory Claimant Lawyers(s): Parisis G. Filippatos Respondent(s): Arena Financial Services Respondent Lawyers(s): Patrick J. Lamparello Arbitrator(s): Michael S. Lazan Hearing Site: New York, NY
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21-02081 | 10/04/2022 | Claimant(s): Jill Jester Claimant Lawyers(s): Richard B. Fosher Respondent(s): Dinosaur Financial Group, L.L.C Respondent Lawyers(s): Paul Koepp Arbitrator(s): Peter Ordower, Gary P. Price, Lynn Hirschfeld Brahin Hearing Site: Indianapolis, IN
| | $429,143 |
21-02661 | 10/04/2022 | Claimant(s): Ricardo De Los Santos, Sandra De Los Santos Claimant Lawyers(s): Ricardo De Los Santos Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Frances Johnson Wright, David A. Schuler, Valarie Wright Hearing Site: Dallas, TX
| | $96,193 |
20-03765 | 10/03/2022 | Claimant(s): OKC Group Claimant Lawyers(s): Jeffrey Erez Respondent(s): First Republic Investment Management, First Republic Securities Company Respondent Lawyers(s): Neal Robb Arbitrator(s): Steven Ira Weinberger, Jonathan Chane, Gustavo Gutierrez Hearing Site: Boca Raton, FL
| | Expungement |
21-02905 | 10/03/2022 | Claimant(s): Subhash Mannava Claimant Lawyers(s): Oran D. Cart Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Marilee Roberg Hearing Site: Chicago, IL
| | $0 |
22-00631 | 09/30/2022 | Claimant(s): Kevin Nolan Claimant Lawyers(s): Denis Dice Respondent(s): Db Alex. Brown LLC Respondent Lawyers(s): Deutsche Banc Alex Brown Inc. Arbitrator(s): Richard E. Lauziere, Patricia M. Maher, Jay B. Bachar Hearing Site: Baltimore, MD
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