| 21-01246 | 02/03/2022 | Claimant(s): Charlotte Lowe, Patrick Lowe
Claimant Lawyers(s): Robert Jay Moses
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 21-01353 | 02/03/2022 | Claimant(s): Ivan Cen
Claimant Lawyers(s): Christina Z. Vourakis
Respondent(s): Cetera Investment Services LLC
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Laurel Littman Gothelf, Jeffrey Schubert, Brian Kimball
Hearing Site: San Francisco, CA
| | |
| 21-01708 | 02/03/2022 | Claimant(s): Scott Turcott
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Mark P. Harbison
Arbitrator(s): John B. Kinsellagh, Benjamin F. Breslauer, Howard Gerber
Hearing Site: Phoenix, AZ
| | |
| 20-03299 | 02/03/2022 | Claimant(s): Abraham Seidman Irrevocable Trust
Claimant Lawyers(s): Renan Sugarman
Respondent(s): Guergana Karaalanova, J.P. Morgan Securities, Kevin Hitz
Respondent Lawyers(s): Heidi E. VonderHeide, Kevin Timothy Hitz
Arbitrator(s): Ray J. Grzebielski, Flora Fell, Scott Miller
Hearing Site: Chicago, IL
|  | Expungement |
| 20-00459 | 02/03/2022 | Claimant(s): Joel D. Zychick, Trustee of GST Trust, Trustee of QTIP Trust
Claimant Lawyers(s): Jeffrey Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Marsha Matson, Robert Steven Haught, Randy Atlas
Hearing Site: Boca Raton, FL
| | $1,875,640 |
| 20-01683 | 02/02/2022 | Claimant(s): Alexander Schwartz
Claimant Lawyers(s): Robert C. Ewing
Respondent(s): Allstate Financial Services
Respondent Lawyers(s): J. Scott Humphrey
Arbitrator(s): Thomas Benjamin Salzer, John T. Hausladen, Christin Kim
Hearing Site: Philadelphia, PA
| | |
| 21-01370 | 02/02/2022 | Claimant(s): Nicholas Tsikitas
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
| | |
| 21-02456 | 02/02/2022 | Claimant(s): Robert Clear
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Robert E. Anderson
Hearing Site: Jersey City, NJ
| | |
| 21-02458 | 02/02/2022 | Claimant(s): Patricia Mary Taylor Trust
Claimant Lawyers(s): Gary Mark Brewer
Respondent(s): Christopher Taylor, Kestra Investment Services
Respondent Lawyers(s): Craig Zafis, Richard A. D'Amura
Arbitrator(s): Thomas E Shuck, Randy R. Maher, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
| 20-03805 | 02/02/2022 | Claimant(s): Maxine Kovalkoski, Paul Kovalkoski
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): LPL Financial LLC, Ronald Paull
Respondent Lawyers(s): Kelsey Vasko, Nancy L. Hendrickson
Arbitrator(s): Peter L. Michaelson
Hearing Site: Jersey City, NJ
| | Expungement |
