| 18-00633 | 01/14/2022 | Claimant(s): Michael Mayo
Claimant Lawyers(s): Steven G. Eckhaus
Respondent(s): CLSA Americas
Respondent Lawyers(s): Barbara M. Roth
Arbitrator(s): Ernesto V. Luzzatto, Ellyn S. Roth, Jason Scott Eveleth
Hearing Site: New York, NY
| | |
| 18-02857 | 01/14/2022 | Claimant(s): J.P. Morgan Securities
Claimant Lawyers(s): Briana Huffer
Respondent(s): Andrew Graves
Respondent Lawyers(s): Ethan A. Brecher
Arbitrator(s): Yvette Strong, Richard A. Cini, Teed J Welch
Hearing Site: New York, NY
| | |
| 20-00598 | 01/14/2022 | Claimant(s): Austin Park
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): Neil Katsuyama
Arbitrator(s): George Herman Frisch, Jean Chung, Ronald Grzywinski
Hearing Site: Los Angeles, CA
| | |
| 20-03370 | 01/14/2022 | Claimant(s): Larry Krmpotich
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Amy L. Blaisdell
Arbitrator(s): Douglas J. Nesbit, John M. James, David Ernest Krause
Hearing Site: Minneapolis, MN
| | |
| 21-00711 | 01/14/2022 | Claimant(s): Adam Hill
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Columbus, OH
| | |
| 21-01676 | 01/14/2022 | Claimant(s): Michael Milani
Claimant Lawyers(s): Richard S. Meisner
Respondent(s): Mondeum Capital
Respondent Lawyers(s): Preston Haxo
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
| | |
| 20-03751 | 01/14/2022 | Claimant(s): Elizabeth Baucom, Richard Baucom, Richard Baucom IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Guillermo L. Bosch, Mary L. Sims, Louis P. Wagman
Hearing Site: Philadelphia, PA
|  | Dismissed by Rule 12206 |
| 21-01100 | 01/13/2022 | Claimant(s): Timothy Atyeo
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William M. Cassarini
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
| | |
| 21-02481 | 01/13/2022 | Claimant(s): Charles Carson
Claimant Lawyers(s): William Preston Martin
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Bill Port
Arbitrator(s): David A. Schuler
Hearing Site: Birmingham, AL
| | |
| 20-03745 | 01/13/2022 | Claimant(s): Deborah Black
Claimant Lawyers(s): Deborah Black
Respondent(s): Lee Nordstrom, Vorpahl Wing Securities
Respondent Lawyers(s): Douglas J. Siddoway, Lee Victor Nordstrom
Arbitrator(s): Stephany Adriene Watson, Courtland T. Shafer, Phillip Mohammed
Hearing Site: Seattle, WA
| | settlement |
