| 20-02627 | 05/09/2022 | Claimant(s): Gregory Swindall
Claimant Lawyers(s): Fred B. Monroe
Respondent(s): W&S Brokerage Services.
Respondent Lawyers(s): Nicholas A. Charles
Arbitrator(s): Patricia H. Latham, James Howell Garrison, Norman Lee Gunn
Hearing Site: Charlotte, NC
| | |
| 21-01978 | 05/09/2022 | Claimant(s): Anthony Leopizzi
Claimant Lawyers(s): Zachary Morse
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Louis David Huss
Hearing Site: Boca Raton, FL
| | |
| 21-02391 | 05/09/2022 | Claimant(s): Steven Rapoport
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): DPEC Capital., Westrock Advisors.
Respondent Lawyers(s): Keith Fasano, Louis J. Rich
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | |
| 20-01732 | 05/09/2022 | Claimant(s): Fortezza Investments, L.P.
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): S. Ronald Daniels, Christopher E. Benjamin, Steven Moore
Hearing Site: Boca Raton, FL
|  | $0 |
| 19-00941 | 05/09/2022 | Claimant(s): Elizabeth Berlin, Stephen Berlin
Claimant Lawyers(s): James L. Kauffman
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Robert E. Anderson, Edward W. Morris, William Stephen Mailander
Hearing Site: Wilmington, DE
| | Expungement |
| 21-02209 | 05/06/2022 | Claimant(s): Mark Beloyan
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Cronus Equity
Respondent Lawyers(s): Kennan E. Kaeder
Arbitrator(s): Edward F. Zagajeski
Hearing Site: New York, NY
| | |
| 20-02468 | 05/06/2022 | Claimant(s): Janice Compton
Claimant Lawyers(s): Niel Prosser
Respondent(s): Thomas Buck
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Ian S. Greig, Mollie Wagner Neal, Gary E. Marcus
Hearing Site: Memphis, TN
| | $5,216,020 |
| 19-00001 | 05/05/2022 | Claimant(s): Legend Securities.
Claimant Lawyers(s): Salvatore Caruso
Respondent(s): COR Clearing LLC, Stocktrade Network.
Respondent Lawyers(s): Carl S. Burkalter, Salvatore Caruso
Arbitrator(s): Charles L. Henderson, Madelyn A. Levy, Thomas Hansen Boast
Hearing Site: New York, NY
| | |
| 20-00690 | 05/05/2022 | Claimant(s): Richard McCollam
Claimant Lawyers(s): Paul W. Thomas
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): John J. Flynn, William W. Haskell, Douglas J. Pavese
Hearing Site: San Francisco, CA
| | |
| 21-01050 | 05/05/2022 | Claimant(s): Mahesh Agarwal
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Flow Traders U.S. LLC
Respondent Lawyers(s): Mallory A. Campbell
Arbitrator(s): Veronica Ann Williams, Mauricio Videla, Emmett Francis Ryan
Hearing Site: New York, NY
| | |
