| 22-00042 | 05/19/2022 | Claimant(s): Futu Inc.
Claimant Lawyers(s): Jonah Hecht
Respondent(s): Andy Chou
Respondent Lawyers(s): Andy Chou
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
|  | $51,450 |
| 19-00391 | 05/18/2022 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael F Braun
Respondent(s): Bruce Smith
Respondent Lawyers(s): Ashley C. Brown
Arbitrator(s): George Pinckney Shingler, Judith Cochrane Loomis, Shaquana Ellison
Hearing Site: Atlanta, GA
| | |
| 22-00013 | 05/18/2022 | Claimant(s): Michael Orr
Claimant Lawyers(s): Michael Orr
Respondent(s): Laurence Allen, Michael Schunk, NYPPEX
Respondent Lawyers(s): Jonathan E. Neuman
Arbitrator(s): Andrew M. Schmertz
Hearing Site: New York, NY
| | |
| 21-02979 | 05/18/2022 | Claimant(s): Shawn Swanson
Claimant Lawyers(s): Shawn Swanson
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Matthew Stephen Duchesne
Hearing Site: Washington, DC
| | $0 |
| 19-02323 | 05/18/2022 | Claimant(s): Elizabeth Kitsis, Richard Kitsis
Claimant Lawyers(s): Sam A. Silverstein
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Howard D. Jacob, Paul C. Tang, Suzanne L. Ulicny
Hearing Site: New York, NY
| | Expungement |
| 21-03090 | 05/18/2022 | Claimant(s): Ira W. Cotton Individual Retirement
Claimant Lawyers(s): Ira W. Cotton
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | $14,519 |
| 18-03981 | 05/17/2022 | Claimant(s): Anthony Dertouzos
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): David Carroll, David Kowach, Wells Fargo Advisors, Wells Fargo Clearing Services, Mary Mack
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Emad A. Zikry, James M. Rhodes, David John Reilly
Hearing Site: New York, NY
| | |
| 20-00699 | 05/16/2022 | Claimant(s): Abraham Heimann
Claimant Lawyers(s): Abraham Heimann
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Chandler R. Bridges
Hearing Site: Atlanta, GA
| | |
| 21-01365 | 05/16/2022 | Claimant(s): Allen Wilson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services, J. B. Hanauer & Co.
Respondent Lawyers(s): Leyla Bari, Michael Naccarato
Arbitrator(s): Paul Allan Massaro
Hearing Site: Jersey City, NJ
| | |
| 21-02701 | 05/16/2022 | Claimant(s): Robert Iannazzo
Claimant Lawyers(s): Brian Luther
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Howard J. Stiefel
Hearing Site: New York, NY
| | |
