| 21-01567 | 05/25/2022 | Claimant(s): Sandhya Kalkunte
Claimant Lawyers(s): Sandhya Sandy Kalkunte
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Mary E. Bassett
Hearing Site: Boston, MA
| | |
| 21-02573 | 05/25/2022 | Claimant(s): Timothy Souhrada
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Tracy L. Allen
Hearing Site: St. Louis, MO
| | |
| 20-00366 | 05/25/2022 | Claimant(s): Laura Tufariello
Claimant Lawyers(s): Chase Carlson
Respondent(s): Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Paul Bennett Marrow, Ronald Harris Kisner, Susan Romano
Hearing Site: New York, NY
|  | $164,900 |
| 20-01960 | 05/25/2022 | Claimant(s): The David and Heather Weir Family Trust
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles A. DeVore
Arbitrator(s): Helen Marinak Blohm, Paul H. Lamboley, Harvey W Gordon
Hearing Site: Albuquerque, NM
| | $1,447,090 |
| 21-02771 | 05/24/2022 | Claimant(s): Jeremiah Butout
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): New England Securities Corporation
Respondent Lawyers(s): Martin Harris
Arbitrator(s): David S. Eisenberg
Hearing Site: Phoenix, AZ
| | |
| 21-02797 | 05/24/2022 | Claimant(s): Justin Cramer
Claimant Lawyers(s): Brian Luther
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Langfred W. White, William Alexander Despo, Charles L.A. Terreni
Hearing Site: Columbia, SC
| | |
| 22-00146 | 05/24/2022 | Claimant(s): Robert Rockefeller
Claimant Lawyers(s): Robert Rockefeller
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | $125 |
| 20-03025 | 05/24/2022 | Claimant(s): Allan Varah
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jeff Goldman
Arbitrator(s): William Kent Brown, Arlene Simon Backman
Hearing Site: Boca Raton, FL
| | Expungement |
| 21-01913 | 05/23/2022 | Claimant(s): William Crull
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Robert J. Gregory
Hearing Site: New Orleans, LA
| | |
| 19-02523 | 05/23/2022 | Claimant(s): Harry Alter, Harry S. Alter Revocable Trust
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Jamie Worden, Worden Capital Management LLC
Respondent Lawyers(s): Jamie John Worden
Arbitrator(s): Robert J. Scafuri, Jack D. Elmquist, Frederick B. Anderson
Hearing Site: Des Moines, IA
| | $60,000 |
