23-00823 | 06/26/2024 | Claimant(s): Stephen Groth Claimant Lawyers(s): Sean M. Sweeney Respondent(s): U.S. Bancorp Investments. Respondent Lawyers(s): Michael N. Ungar Arbitrator(s): Susan H. Schleisner, Kevin J. Demet, Nathaniel Cade Hearing Site: Milwaukee, WI
| | $200,000 |
23-02056 | 06/26/2024 | Claimant(s): John Loehr Claimant Lawyers(s): Bentley P Stansbury Respondent(s): Edward Jones Respondent Lawyers(s): Darren Goodman Arbitrator(s): Erik R. Siering Hearing Site: San Diego, CA
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23-02447 | 06/26/2024 | Claimant(s): John Shepherd Claimant Lawyers(s): Harris Freedman Respondent(s): CUNA Brokerage Services. Respondent Lawyers(s): Sandra D. Grannum Arbitrator(s): Scott Hooper Hearing Site: Portland, OR
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23-00448 | 06/26/2024 | Claimant(s): Jennifer Gold Claimant Lawyers(s): Jonathan W. Evans Respondent(s): Alex Chivarsky, UBS Financial Services Inc. Respondent Lawyers(s): David I. Hantman, Omar Perez Arbitrator(s): Robert B. Hansohn, Brent J. Rosenbaum, Farshad Ghodoosi Hearing Site: Los Angeles, CA
| | Expungement |
23-03642 | 06/25/2024 | Claimant(s): Drew Freides Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Melissa J. Gworek Arbitrator(s): Stuart Sinai, Mary C. Davis, Peter A.P. Dunlop Hearing Site: Los Angeles, CA
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23-02809 | 06/25/2024 | Claimant(s): James Desrocher Claimant Lawyers(s): Brian Luther Respondent(s): Park Avenue Securities LLC Respondent Lawyers(s): Thomas Drogan Arbitrator(s): Richard J. Grahn Hearing Site: Boston, MA
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23-01317 | 06/25/2024 | Claimant(s): Estate of Lynn A. Ryan Claimant Lawyers(s): Mildred C. Ryan Respondent(s): Derek Visslailli, TD Ameritrade. Respondent Lawyers(s): Derek Visslailli, Frank J. Cuccio Arbitrator(s): Robert Elliot Harrison, Roy Lukins Rowsell, John Michael Bergin Hearing Site: New York, NY
| | $0 |
23-02812 | 06/25/2024 | Claimant(s): Levent Bayrasli Claimant Lawyers(s): Alex Padla Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Deirdre Wolff, Katelyn H. Wilson Arbitrator(s): Gregory J. Spadea Hearing Site: Philadelphia, PA
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21-00334 | 06/25/2024 | Claimant(s): Candido Viyella, Enrique Viyella Claimant Lawyers(s): Scott J. Link Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney Financing Respondent Lawyers(s): Tracy L. Gerber Arbitrator(s): Sonja Shuford, Lan Trinh, Yana Sogolov Hearing Site: Boca Raton, FL
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23-02955 | 06/25/2024 | Claimant(s): Kaled Khaznehkatbi Claimant Lawyers(s): Eric A. Michaels Respondent(s): OSAIC Wealth Respondent Lawyers(s): Steven E. Mellen Arbitrator(s): Patrick R. Sughroue Hearing Site: Detroit, MI
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