| 21-02716 | 07/20/2022 | Claimant(s): Keith Fontenot
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Simeon B. Reimonenq
Hearing Site: New Orleans, LA
| | |
| 21-03083 | 07/20/2022 | Claimant(s): Estate of Nicole B. Reuben
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Craig D. Stein
Arbitrator(s): Mark C. Perry, Richard W. Epstein, Mark David Hunter
Hearing Site: Boca Raton, FL
|  | Expungement |
| 18-02160 | 07/19/2022 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Robert S. Whitman
Respondent(s): Carl Buhr
Respondent Lawyers(s): Edgar Rivera
Arbitrator(s): Evonne WJ Tolbert, Sandra J. Mullings, Martin L. Feinberg
Hearing Site: New York, NY
| | |
| 21-00748 | 07/19/2022 | Claimant(s): Darius Ghoddoussi
Claimant Lawyers(s): William A. Kinsel
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer Tomsen
Arbitrator(s): Elwood C. Avery, Scott D. Rash, Joseph L. Carman
Hearing Site: Seattle, WA
| | |
| 21-02711 | 07/19/2022 | Claimant(s): Charles Fischer
Claimant Lawyers(s): Harris Freedman
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | |
| 20-01517 | 07/19/2022 | Claimant(s): Richard G.Russell Jr.Revocable Living Tr
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Joseph Howard Cooper, Cherie S. Lewis, Darrell Gene Smith
Hearing Site: Los Angeles, CA
| | $210,000 |
| 21-02020 | 07/18/2022 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Mitchell Oldewurtel
Respondent Lawyers(s): Alan Baskin
Arbitrator(s): Deana S. Peck, Daniel Baruch Lidawer, David F. Sargent
Hearing Site: Phoenix, AZ
| | |
| 22-00089 | 07/18/2022 | Claimant(s): Heath Grossman
Claimant Lawyers(s): Steven Feldman
Respondent(s): Silver Oak Securitiesorporated
Respondent Lawyers(s): Doug Baxley
Arbitrator(s): Robert Titus
Hearing Site: Hartford, CT
| | |
| 19-00647 | 07/18/2022 | Claimant(s): Steven Mariano, Steven M. Mariano Revocable Trust
Claimant Lawyers(s): Jeffrey A. Tew
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Steven Gerard Goerke, Alessandra Piras Torrens, Joanne Colbert Stanley
Hearing Site: Boca Raton, FL
| | $0 |
| 19-01723 | 07/18/2022 | Claimant(s): Dennis Ainbinder, Nadine Ainbinder, Dennis & Nadine Ainbinder TTEES 1992
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca K. Lindahl
Arbitrator(s): Tina Scott Polsky, Donna Greenspan Solomon, Jonathan Chane
Hearing Site: Boca Raton, FL
| | $252,627 |
