| 21-01144 | 02/10/2022 | Claimant(s): Carol Keene
Claimant Lawyers(s): Carol Keene
Respondent(s): Anthony Valente, Morgan Stanley, Ronnie Guidone, Yuji Fujii
Respondent Lawyers(s): Abigail D. Elrod, Stephany D. McLaughlin
Arbitrator(s): Albert T. T. Cook, Paul E. Dahlman, Michael D. Briggs
Hearing Site: Albuquerque, NM
|  | Expungement |
| 19-01202 | 02/10/2022 | Claimant(s): Patricia Mezzancello, DCB321
Claimant Lawyers(s): Jon A. Jacobson
Respondent(s): David McCorison
Respondent Lawyers(s): Denis Dice
Arbitrator(s): Herbert Branitsky, Alessandra Piras Torrens, Peter Frank Ferola
Hearing Site: Boca Raton, FL
| | $0 |
| 20-01986 | 02/09/2022 | Claimant(s): Michael Lyublinsky
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): NatWest Markets Securities Inc.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Joseph J. Arata, Harvey Barrison, Donald Davis Capelin
Hearing Site: New York, NY
| | |
| 21-02445 | 02/09/2022 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): John D. Stewart
Respondent(s): Michael Muratore
Respondent Lawyers(s): Michael Joseph Muratore
Arbitrator(s): Dora M. Lassinger
Hearing Site: New York, NY
| | |
| 20-02666 | 02/09/2022 | Claimant(s): Carol A. Mastics, individually for the, Carole Mastics Rev Tr Dtd 03/28/2011
Claimant Lawyers(s): Robert J. Harvey
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Monica I. Salis, Paul Weinberg, Edward Alexander Jaffe
Hearing Site: Boca Raton, FL
| | Expungement |
| 20-00453 | 02/08/2022 | Claimant(s): William Bridges
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Portfolio Advisors Alliance
Respondent Lawyers(s): Kerri Wasserman
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | |
| 21-00147 | 02/08/2022 | Claimant(s): Bradley Lott
Claimant Lawyers(s): Erika Binnix
Respondent(s): Morgan Stanley, Wells Fargo Clearing Services, UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy, Miles D. Hart, Todd A. Holleman
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
| | |
| 21-01006 | 02/08/2022 | Claimant(s): Virginia Thompson
Claimant Lawyers(s): James P. Galvin
Respondent(s): Stifel, Nicolaus & Co.., UBS Financial Services Inc., Janney Montgomery Scott LLC, J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Benjamin J. Biard, Jill B. Clarke, John Murphy, Paul Klein
Arbitrator(s): Sheryl Sagel, Nanci Sondra Landy, Jason Allen Rosner
Hearing Site: Boca Raton, FL
| | |
| 21-01374 | 02/08/2022 | Claimant(s): Robert W. Baird & Co. Incorporated
Claimant Lawyers(s): J. Lucas McFarland
Respondent(s): Michael Barth
Respondent Lawyers(s): Michael David Barth
Arbitrator(s): Paul E. Dahlman
Hearing Site: Albuquerque, NM
| | |
| 21-02004 | 02/08/2022 | Claimant(s): Jared Zuflacht
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
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