| 20-03553 | 08/10/2022 | Claimant(s): Chukwuemeka Okafor
Claimant Lawyers(s): Samuel Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): Joyce L. Hurley, Joseph C. Watson, Aaron Nathan Shechet
Hearing Site: Los Angeles, CA
|  | $0 |
| 22-00729 | 08/10/2022 | Claimant(s): Fangfang Pei
Claimant Lawyers(s): Fangfang Pei
Respondent(s): Peter Po, Ni Advisors
Respondent Lawyers(s): Peter T. Po, Suihock Goy
Arbitrator(s): Jonathan Polland
Hearing Site: San Francisco, CA
| | $0 |
| 21-02891 | 08/09/2022 | Claimant(s): Aric Zamel
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Constance Ellen Boukidis, Lorraine Woodwark, Gecole L. Harley
Hearing Site: Los Angeles, CA
| | |
| 22-00540 | 08/09/2022 | Claimant(s): Cerise Chisholm
Claimant Lawyers(s): Cerise Chisholm
Respondent(s): Robinhood Securities
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | $600 |
| 20-04171 | 08/08/2022 | Claimant(s): Craig Findley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): James L. Komie
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cleveland, OH
| | |
| 21-01614 | 08/08/2022 | Claimant(s): Estate of Barbra H. Uterstaedt
Claimant Lawyers(s): Joseph A. Hourihan
Respondent(s): Robin Bogda, Janney Montgomery Scott LLC
Respondent Lawyers(s): Eric M. Sandler, Jeffrey N. Kaplan
Arbitrator(s): Linda J. Baer, Robert M. Singer, Nancy Wiegers Greenwald
Hearing Site: Hartford, CT
| | $0 |
| 20-03869 | 08/08/2022 | Claimant(s): Bonnie K. Johnston, Robert E. Johnston
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Lynn Hirschfeld Brahin, Gregory G. Gocek, Joan M. Esserman
Hearing Site: St. Louis, MO
| | Expungement |
| 17-02578 | 08/08/2022 | Claimant(s): Edward Pesicka, Wendy Pesicka, Edward & Wendy Pesicka
Claimant Lawyers(s): Michael P. Oliverio
Respondent(s): Gregory Pease, Wells Fargo Clearing Services, John Rauch
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): James T. Carney, William L. White, John J. Neely
Hearing Site: Pittsburgh, PA
| | $731,587 |
| 21-02962 | 08/05/2022 | Claimant(s): Jeffrey Gollehon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Cleveland, OH
| | |
| 21-03059 | 08/05/2022 | Claimant(s): Robert Wolfe
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Diane M. Perry
Hearing Site: Boca Raton, FL
| | |
