| 21-02803 | 07/15/2022 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): David G. Smitham
Respondent(s): Neil Fineman
Respondent Lawyers(s): Neil S. Fineman
Arbitrator(s): Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
| | |
| 21-02832 | 07/15/2022 | Claimant(s): Guy Deemer
Claimant Lawyers(s): Brian Luther
Respondent(s): Oppenheimer & Co.., Ryan Beck & Co., Stifel, Nicolaus & Co..
Respondent Lawyers(s): Lauren Beekman, Nicola A. Murphy
Arbitrator(s): Louis Charles Schmitt
Hearing Site: Pittsburgh, PA
| | |
| 21-02874 | 07/15/2022 | Claimant(s): Joseph Medina
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): McClellon D. Cox, III
Arbitrator(s): David John Reilly
Hearing Site: New York, NY
| | |
| 21-00934 | 07/15/2022 | Claimant(s): Silvana Puglia-Elmo
Claimant Lawyers(s): David Vermont
Respondent(s): Daniel Sherman, Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Thomas M. Madden, Eric Zaidins, Gary Ford Munowitz
Hearing Site: New York, NY
|  | Expungement |
| 21-01011 | 07/15/2022 | Claimant(s): Ravshan Rakhmanov
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Andrew J. Melnick
Arbitrator(s): Michael H DuBoff, David S. Billet, Vanessa Lynn Van Brunt
Hearing Site: New York, NY
| | $0 |
| 18-03488 | 07/15/2022 | Claimant(s): James DeChene, James Dechene IRA
Claimant Lawyers(s): D. Daxton White
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Lindsay Wuller Aggarwal
Arbitrator(s): Michael S. Jordan, John M. James, Stephen J Beseres
Hearing Site: Minneapolis, MN
| | Expungement |
| 19-01006 | 07/15/2022 | Claimant(s): Frank K. Lee, IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): First Kentucky Securities Corporation
Respondent Lawyers(s): Richard S. Frankowski
Arbitrator(s): Stuart D. Summers, Steven Michael McCauley, Kim L. Kirn
Hearing Site: Louisville, KY
| | $609,050 |
| 18-02371 | 07/14/2022 | Claimant(s): Anil Bhandari
Claimant Lawyers(s): Rishi Bhandari
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Yvette Strong, John Franklin Udochi, Brian John Gallagher
Hearing Site: New York, NY
| | |
| 21-01562 | 07/14/2022 | Claimant(s): Gregory Manto
Claimant Lawyers(s): David E. Robbins
Respondent(s): Andrew Lindenberg
Respondent Lawyers(s): Kevin Galbraith
Arbitrator(s): Thomas D. Giordano, Jeffrey Bega, Wallace Anthony Showman
Hearing Site: New York, NY
| | |
| 21-02546 | 07/14/2022 | Claimant(s): Jeannan Brewer, John Brewer
Claimant Lawyers(s): Harris Freedman
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura T. Ruiz Rivera
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
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