| 22-00285 | 09/21/2022 | Claimant(s): John Husby
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Cuna Brokerage Services.
Respondent Lawyers(s): Jennifer G. Chawla
Arbitrator(s): Bill Lamoreaux, Linda B. Kelly, Michael Wayne Johnston
Hearing Site: Dallas, TX
| | |
| 20-01270 | 09/21/2022 | Claimant(s): Joyce Moss, Marlo Moss
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
|  | Expungement |
| 21-01725 | 09/20/2022 | Claimant(s): Samantha Beverley
Claimant Lawyers(s): Samantha Brandon Beverley
Respondent(s): Carlo Marano, Gerald Mirra
Respondent Lawyers(s): Christopher A. Smith, Timothy P. Coon
Arbitrator(s): Lise Gabrielle Hunter, Joseph F. Kelley, Jean Helen McMahon
Hearing Site: New York, NY
| | |
| 22-00642 | 09/20/2022 | Claimant(s): James Ugobono
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Sara L. Velez Santiago
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
| | |
| 22-00838 | 09/20/2022 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jeanette E. Dennis
Respondent(s): Ross Fabregas
Respondent Lawyers(s): Ross Ramon Fabregas
Arbitrator(s): Robert Titus
Hearing Site: Albany, NY
| | |
| 21-02439 | 09/19/2022 | Claimant(s): Clark Brothers Investments
Claimant Lawyers(s): Jason R. Clark
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Robyn C. Crowther
Arbitrator(s): Langdon T. Owen, Margaret Ann Barrington, Carol L. Roslund
Hearing Site: Denver, CO
| | |
| 19-01303 | 09/19/2022 | Claimant(s): Jonathan Harber
Claimant Lawyers(s): Alan Rosca
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Susan Manca, Harvey E. Benjamin, Mitchell H Rubinstein
Hearing Site: New York, NY
| | Expungement |
| 21-02959 | 09/19/2022 | Claimant(s): Yverson Alcide
Claimant Lawyers(s): Yverson Alcide
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Melinda S. Milberg, Linda J. Baer, Stephen James McLaughlin
Hearing Site: Manchester, NH
| | $300 |
| 19-01933 | 09/16/2022 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Miles D. Hart
Respondent(s): Robin Johnson
Respondent Lawyers(s): Robin K. Johnson
Arbitrator(s): Jeffry M. Bauer, Lynn Hirschfeld Brahin, Earlene R. Baggett-Hayes
Hearing Site: Detroit, MI
| | |
| 21-00625 | 09/16/2022 | Claimant(s): Jaivin Karnani
Claimant Lawyers(s): Marc Seldin Rosen
Respondent(s): Futu Inc
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Arthur B. O'Connell, Carl F. Bowmer, Gregory Hunter Mathews
Hearing Site: Richmond, VA
| | $0 |
