| 21-02875 | 02/23/2022 | Claimant(s): John Jacobs
Claimant Lawyers(s): David I. Hantman
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Nicola Anne Murphy
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | |
| 20-04082 | 02/23/2022 | Claimant(s): Richard Boyer, Richard Boyer IRA
Claimant Lawyers(s): Richard Boyer
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Martin Schexnayder
Arbitrator(s): Frank V. Tutone
Hearing Site: Charlotte, NC
|  | $0 |
| 20-02087 | 02/23/2022 | Claimant(s): David Kucharsky, Ellen Kucharsky
Claimant Lawyers(s): Sheldon P. Starke
Respondent(s): Dawson James Securities.
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Steven R. Reininger, Will Murphy, Gary Frederick Birnberg
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-02099 | 02/23/2022 | Claimant(s): Kevin O'Neill
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Mark Kolta
Respondent Lawyers(s): Tosh Grebenik
Arbitrator(s): Richard W. Vallario, Lori H. Carena, Gerald M. Levine
Hearing Site: New York, NY
| | $0 |
| 20-03138 | 02/22/2022 | Claimant(s): Brian Rieman
Claimant Lawyers(s): Jennifer Burke
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Jennifer Burke
Arbitrator(s): Edith M. Novack
Hearing Site: Jersey City, NJ
| | |
| 20-03189 | 02/22/2022 | Claimant(s): Vincent Fiorentino
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | |
| 21-01164 | 02/22/2022 | Claimant(s): Stephen Brown
Claimant Lawyers(s): Craig Stein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): William Kent Brown, Will Murphy, Tina Scott Polsky
Hearing Site: Boca Raton, FL
| | |
| 21-01437 | 02/22/2022 | Claimant(s): John Hutchens
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fifth Third Securities., Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Nuviah Shirazi, R. Samuel Gilley
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
| | |
| 20-03596 | 02/22/2022 | Claimant(s): Sherita Booker
Claimant Lawyers(s): Sherita Quana Booker
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kathryn B. Rockwood
Arbitrator(s): Richard W. Dissen, Eileen B. Vernon, Karl Strohbehn
Hearing Site: Cleveland, OH
| | $0 |
| 21-00715 | 02/22/2022 | Claimant(s): Ying Lei
Claimant Lawyers(s): Ying Lei
Respondent(s): Kwai Chan, TD Ameritrade., Shou Yung Hua
Respondent Lawyers(s): John D. Stewart
Arbitrator(s): Nancy Kramer, Mark Cuccaro, Jess A. Bunshaft
Hearing Site: New York, NY
| | Expungement |
