| 21-02785 | 06/10/2022 | Claimant(s): Christopher Sivley
Claimant Lawyers(s): Brian Luther
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Mitchel Weiss
Hearing Site: Jacksonville, FL
| | |
| 20-01331 | 06/10/2022 | Claimant(s): Jose Antonio Lamas Revocable Trust
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Ronald J. Tomassi
Arbitrator(s): Michael J. Quarequio, Kevin A. Llinas, Andrea R. Jacobs
Hearing Site: Boca Raton, FL
|  | Expungement |
| 18-02874 | 06/09/2022 | Claimant(s): Emmanuel DeSousa
Claimant Lawyers(s): Howard E King
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Simon M. Levy
Arbitrator(s): Helen Marinak Blohm, Robert E. Thompson, Robert Sachs Mandelson
Hearing Site: San Francisco, CA
| | |
| 19-03004 | 06/09/2022 | Claimant(s): David Bergal, Milton B. Bergal Estate Trust
Claimant Lawyers(s): Jared A. Levy
Respondent(s): Chase Investment Services Corp., J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Robert J. Scafuri, Barry Goldman, Richard A Young
Hearing Site: Indianapolis, IN
| | |
| 21-00526 | 06/09/2022 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Andrew Stout, Andrew Waldbaum, Christopher Horner, Kenneth Robbins, Lisa Detanna, Michelle Moore, Raymond James Trust, N.A.
Respondent Lawyers(s): Hayden Adams, Peter S. Fruin
Arbitrator(s): Robert D. Sussin, George Herman Frisch, Leslie Marie Hopp
Hearing Site: Los Angeles, CA
| | |
| 21-01004 | 06/09/2022 | Claimant(s): William McCormack
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): Eric Seeley
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Philip S. Cottone, Gregory J. Spadea, Lorrie E Whitfield
Hearing Site: Philadelphia, PA
| | |
| 21-02315 | 06/09/2022 | Claimant(s): Emily Eisenhauer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Justin E. Condit
Arbitrator(s): Mark L. Williams
Hearing Site: Dallas, TX
| | |
| 21-02938 | 06/09/2022 | Claimant(s): Kenneth Wise
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Joseph Edelstein, William M. Azkoul, John C. Aten
Hearing Site: Cleveland, OH
| | |
| 22-00679 | 06/09/2022 | Claimant(s): Andrew Oconnell, Brant Ferguson, Cory Durham
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 21-00178 | 06/09/2022 | Claimant(s): Paul Sweet IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Samuel H. Chorches
Hearing Site: Providence, RI
| | Expungement |
