| 21-02693 | 05/27/2022 | Claimant(s): Eric Moreno
Claimant Lawyers(s): William McClelland Montgomery
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
| 21-01613 | 05/27/2022 | Claimant(s): Yulii Bogatyrenko
Claimant Lawyers(s): David Freniere
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): John Franklin Udochi
Hearing Site: New York, NY
|  | $0 |
| 19-03741 | 05/27/2022 | Claimant(s): Kraig Ketter
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): David Khezri, Garrett Gaylor
Respondent Lawyers(s): David Khezri, Garrett Randell Gaylor
Arbitrator(s): Jack D. Elmquist, Kevin D. Hofman, Kathy A. Tatone
Hearing Site: Minneapolis, MN
| | $103,000 |
| 19-01619 | 05/26/2022 | Claimant(s): Daniella Rand
Claimant Lawyers(s): Harris Freedman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Simon M. Levy
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 19-03635 | 05/26/2022 | Claimant(s): Richard Mazur
Claimant Lawyers(s): Denis S. Kenny
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Nancy Hutt, Dean J. Dietrich, Shawn Ridgell
Hearing Site: San Francisco, CA
| | |
| 21-02330 | 05/26/2022 | Claimant(s): David Rojas
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): Elena G. Rodriguez
Hearing Site: San Juan, PR
| | |
| 21-00513 | 05/26/2022 | Claimant(s): William Nies
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Geneos Wealth Management
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Diane Ciccone, Doris J. Dabrowski, Mary S. Wyatte
Hearing Site: Philadelphia, PA
| | Expungement |
| 19-01179 | 05/26/2022 | Claimant(s): Marlyn Schipper
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Prudential Investment Mgmt Services LLC, Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge, Marilyn B. Rosen
Arbitrator(s): Michael Nathanson, Jacqueline Stanley Lustig, Thomas P. Valenti
Hearing Site: Chicago, IL
| | $0 |
| 20-02535 | 05/26/2022 | Claimant(s): Anthony Lombard
Claimant Lawyers(s): Anthony P. Monzo
Respondent(s): James Schultz, Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): George Forest Bingham, Gordon M. Wase, John T. Hausladen
Hearing Site: Philadelphia, PA
| | Expungement |
| 20-03591 | 05/26/2022 | Claimant(s): Carlos Tapia Sanchez
Claimant Lawyers(s): Burt Newsome
Respondent(s): Morgan Stanley, Francisco Valenzuela
Respondent Lawyers(s): Francisco Javier Valenzuela, Patricia V. Waterkotte
Arbitrator(s): Timothy J. Kroll, Ronald Stewart Ripley, Vineet Mehta Shaw
Hearing Site: Phoenix, AZ
| | $330,000 |
