| 21-02834 | 06/28/2022 | Claimant(s): Francisco Landivar
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
| | |
| 21-02864 | 06/28/2022 | Claimant(s): Anthony Javarone
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Leslie L. Cooney, Robert C. Harris, Stephenie Dorris
Hearing Site: Boca Raton, FL
| | |
| 21-00889 | 06/28/2022 | Claimant(s): Daniel Prielipp
Claimant Lawyers(s): David B. Vermont
Respondent(s): Cassandra Woodward, Liberty Partners Financial Services
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Kenneth J. Safran, O'Neal Oliver Wright, Crescenzo Christopher Scotto DiVetta
Hearing Site: Detroit, MI
|  | Dismissed by Rule 12206 |
| 20-03978 | 06/28/2022 | Claimant(s): Jeff and Karen Misner Revocable Trust
Claimant Lawyers(s): Stefan Apotheker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca K. Lindahl
Arbitrator(s): J.G. Long, Thomas James Hirsch, Jeffrey Alperin
Hearing Site: Atlanta, GA
| | $1,342,120 |
| 21-01701 | 06/27/2022 | Claimant(s): Chiaki Kumazawa
Claimant Lawyers(s): Samuel Edwards
Respondent(s): Bancwest Investment Services.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Robert M Stein, Daniel M. Yamshon, Paul E. Dahlman
Hearing Site: Anchorage, AK
| | Dismissed by Rule 12206 |
| 21-00912 | 06/24/2022 | Claimant(s): Erin Daly
Claimant Lawyers(s): Michelle Daly
Respondent(s): Citigroup Global Markets., Citibank, N.A., Citigroup Inc.
Respondent Lawyers(s): Lisa Lupion
Arbitrator(s): Alexander Wayman Hunter, Roger Pierro, Helen Scott Ching
Hearing Site: New York, NY
| | |
| 21-02682 | 06/24/2022 | Claimant(s): Gary Karch
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
| | |
| 22-00018 | 06/24/2022 | Claimant(s): Candaice Haywood
Claimant Lawyers(s): Candaice Haywood
Respondent(s): Aspiration Financial LLC
Respondent Lawyers(s): Michael Joseph Shuckerow
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 20-03286 | 06/24/2022 | Claimant(s): Mario Posillico
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Thomas M. McHugh
Arbitrator(s): Will Murphy, Judith Jackson Chorlog, Isabelle Sherman
Hearing Site: Boca Raton, FL
| | Expungement |
| 19-00083 | 06/23/2022 | Claimant(s): Dawn Winship
Claimant Lawyers(s): Dawn Winship
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Ephraim J. Pierre
Arbitrator(s): Michael G. Clark, Kirtley M. Thiesmeyer, Audrey Lynne Myer
Hearing Site: Los Angeles, CA
| | |
