| 21-02412 | 07/28/2022 | Claimant(s): Siddarth Reddy
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): Halcyon Cabot Partners, Ltd.
Respondent Lawyers(s): Michael S. Segal
Arbitrator(s): Dora M. Lassinger, Howard D. Jacob, Margarita Echevarria
Hearing Site: New York, NY
| | |
| 18-00229 | 07/28/2022 | Claimant(s): Estate of Elaine Falcigno
Claimant Lawyers(s): Edmund Polubinski
Respondent(s): Frederick Mueller, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Robert L. Chase, John J. Mager, April C. Teveris
Hearing Site: Hartford, CT
|  | $0 |
| 19-00231 | 07/27/2022 | Claimant(s): Goldman, Sachs and Company, The Goldman Sachs Group.
Claimant Lawyers(s): Robert A. Sacks
Respondent(s): Tim Leissner
Respondent Lawyers(s): Henry E. Mazurek
Arbitrator(s): Jeffrey L. Malek, Daniel R. Brush, Andrew W. Levin
Hearing Site: Los Angeles, CA
| | |
| 21-02461 | 07/27/2022 | Claimant(s): Patrick Lam
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Lincoln Financial Distributors.
Respondent Lawyers(s): Michael W. Arnold
Arbitrator(s): Minnie Loo
Hearing Site: San Francisco, CA
| | |
| 21-02828 | 07/27/2022 | Claimant(s): Eric Schmidt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Michael W. Arnold
Arbitrator(s): Ira A. Auerbach
Hearing Site: New York, NY
| | |
| 20-03257 | 07/27/2022 | Claimant(s): Ashok Aiyappa, Varalakshmi Aiyappa
Claimant Lawyers(s): Ashok Aiyappa
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn B. Rockwood
Arbitrator(s): Mary E. Woytek, Karen L. Crump-Wilson, Jeffrey Axelrad
Hearing Site: Washington, DC
| | $0 |
| 21-00211 | 07/27/2022 | Claimant(s): Bernard So
Claimant Lawyers(s): Joseph R. Henderson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): John Stewart
Arbitrator(s): Steven H. Vogel, Walter Patrick Giblin, Dianne Marie Onichimowski
Hearing Site: Chicago, IL
| | $0 |
| 21-01716 | 07/27/2022 | Claimant(s): Diane Jones
Claimant Lawyers(s): Scott Ira Batterman
Respondent(s): Christ Baltas, Worden Capital Management LLC, Gregory Bodkin, Jamie Worden
Respondent Lawyers(s): Charles M. O'Rourke, Christ Elias Baltas, Jamie John Worden
Arbitrator(s): Robert E. Thompson, Peter H. Daly, Kenneth W. Gosliner
Hearing Site: Honolulu, HI
| | $80,000 |
| 17-02814 | 07/26/2022 | Claimant(s): Mid Atlantic Capital Corporation
Claimant Lawyers(s): Erin Timmerman
Respondent(s): Craig Hayward
Respondent Lawyers(s): Giovanni M. Ruscitti
Arbitrator(s): Donald N. Tolin, Martha Jeanne Wilcoxson, Richard Djokic
Hearing Site: Denver, CO
| | |
| 20-02402 | 07/26/2022 | Claimant(s): Suzann Terry Smith
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Sam Gowin, Laverne Lewis Gaskins, Lakeya Brantley
Hearing Site: Atlanta, GA
| | Expungement |
