| 21-01621 | 06/06/2022 | Claimant(s): Rosario Cammarata
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): UBS Financial Services Inc., Janney Montgomery Scott LLC
Respondent Lawyers(s): Jill B. Clarke, John Murphy
Arbitrator(s): Marie G. Peterson, Allen Robin, Carl Joseph Domino
Hearing Site: Boca Raton, FL
| | |
| 20-01543 | 06/06/2022 | Claimant(s): Anna Hickey, Daniel Hickey, Daniel J. Hickey & Anna M. Hickey Trust
Claimant Lawyers(s): Devin W. Bone
Respondent(s): Jack McBride, B. Riley Wealth Management
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Patrick R. Sughroue, Richard Heim Foley, Michael John Falvo
Hearing Site: Detroit, MI
|  | $0 |
| 20-03990 | 06/06/2022 | Claimant(s): Pamela McCormick, Rick McCormick, The Lindsay McCormick 2013 Gift Trust
Claimant Lawyers(s): Jeffrey Erez, Stefan Apotheker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Robert B. Hansohn, Anita Teresa Hayden, Betty Jean Jackson
Hearing Site: Los Angeles, CA
| | $1,181,720 |
| 19-00316 | 06/03/2022 | Claimant(s): Peter Dearcangelis
Claimant Lawyers(s): Adriaen M Morse
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Scott A. La Porta
Arbitrator(s): Robert H. Putnam, Frederick R. Benson, Dayne Steven Beam
Hearing Site: Charlotte, NC
| | |
| 21-00475 | 06/03/2022 | Claimant(s): Boomerang Capital LLC
Claimant Lawyers(s): William A. Rome
Respondent(s): Rhino Investment Partners Inc, Rhino Small Cap Financial Fund LP
Respondent Lawyers(s): Scott E. Zweigel
Arbitrator(s): Julie K. Chapin, John McGrody, Mark Ignatius Salvacion
Hearing Site: Philadelphia, PA
| | |
| 21-02325 | 06/03/2022 | Claimant(s): Travis McGann
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie I. Holder
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | |
| 21-02544 | 06/03/2022 | Claimant(s): Donald Wyrick
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): John P. Cullem
Hearing Site: Nashville, TN
| | |
| 17-03265 | 06/03/2022 | Claimant(s): Dwight Rose, Nancy Rose
Claimant Lawyers(s): Albert R. Murray
Respondent(s): Kevin Houser, Houser & Plessl Wealth Management Group,
Respondent Lawyers(s): Michael S. Taafee
Arbitrator(s): Annamaria Boccia Smith, Sirena Terr, Charlane Brown
Hearing Site: New York, NY
| | Expungement |
| 21-01036 | 06/03/2022 | Claimant(s): David Gaudet
Claimant Lawyers(s): Christa M. Hibbard
Respondent(s): Michael Digioia
Respondent Lawyers(s): Michael Joseph Digioia
Arbitrator(s): Gene M. Bauer, Patrick Sullivan, Carol Ellen Carson
Hearing Site: Boston, MA
| | $150,400 |
| 21-01175 | 06/02/2022 | Claimant(s): Sean Caston
Claimant Lawyers(s): Sean D Caston
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): June McLaughlin, Elizabeth Anne Moreno, Jack R. Goetz
Hearing Site: Los Angeles, CA
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