| 21-02148 | 03/02/2022 | Claimant(s): Lisa Hanline
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
| | |
| 21-02157 | 03/02/2022 | Claimant(s): Rocco Guidicipietro
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Alexander Capital, L.P.
Respondent Lawyers(s): Michele Misiti
Arbitrator(s): Harvey Barrison, Phillip Michael Brown, Joan Ellen Hoffman
Hearing Site: New York, NY
| | |
| 21-02488 | 03/02/2022 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Theodore R. Bynum
Respondent(s): Daniel Josey
Respondent Lawyers(s): Daniel Jordan Josey
Arbitrator(s): David Paul Clark
Hearing Site: Charlotte, NC
| | |
| 20-04176 | 03/02/2022 | Claimant(s): Gabriel Ivan
Claimant Lawyers(s): Gabriel Ivan
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos E. Provencio
Arbitrator(s): Richard Gee, Susan Romano, Stephen T Schreiber
Hearing Site: New York, NY
|  | $0 |
| 21-01955 | 03/01/2022 | Claimant(s): Patricia Gremore
Claimant Lawyers(s): Patricia A. Gremore
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc., A. G. Edwards & Sons., Wells Fargo Advisors Financial Network, Invesco Distributors.
Respondent Lawyers(s): Amanda Parisi, Anne Gerry, Jeffrey D. Rodgers
Arbitrator(s): Kevin J. Demet
Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12206 |
| 20-03515 | 02/28/2022 | Claimant(s): Aaron Olson
Claimant Lawyers(s): Thomas Momjian
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Victor L. Hayslip
Arbitrator(s): Frank E. Wolf, Richard E. Miley, Helen Elizabeth Hester
Hearing Site: Charlotte, NC
| | |
| 21-01738 | 02/28/2022 | Claimant(s): Mark Gaskill
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MKG Financial Group.
Respondent Lawyers(s): Mark K. Gaskill
Arbitrator(s): James E. Bartels
Hearing Site: Portland, OR
| | |
| 21-01745 | 02/28/2022 | Claimant(s): Dax Williamson
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Wells Fargo Advisors Financial Network, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Geoffrey S. Beckham, Katelyn H. Wilson
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
| | |
| 21-01816 | 02/28/2022 | 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
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
| | |
| 20-00652 | 02/28/2022 | Claimant(s): James W. Miller, Jr.
Claimant Lawyers(s): Stephen O'Donnell
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC, Nicholas King, Paolo Rocca, Strategic Advisers.
Respondent Lawyers(s): Dochtor Kennedy, Kathryn B. Rockwood
Arbitrator(s): Theodore W. Wrobleski, Philip C. Stahl, James William Hoag
Hearing Site: Chicago, IL
| | Expungement |
