| 20-00839 | 12/28/2021 | Claimant(s): Bruce Rogers, Kent Rogers
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Dinosaur Financial Group, L.L.C
Respondent Lawyers(s): M. William Munno
Arbitrator(s): Amelia F. Adams, Richard W. Dissen, Allen M. Kerpan
Hearing Site: Louisville, KY
|  | $0 |
| 21-00369 | 12/28/2021 | Claimant(s): Fibonacci Capital
Claimant Lawyers(s): Frank T.M. Catalina
Respondent(s): Andrew Lewis, Sanctuary Securities.
Respondent Lawyers(s): Christopher S. Stake
Arbitrator(s): Larry A. Kimmel, Judith C. Zerden, Julian F. Santos
Hearing Site: New York, NY
| | $40,789 |
| 21-01660 | 12/28/2021 | Claimant(s): Arec Simeri
Claimant Lawyers(s): Nathan C. Volheim
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Adam Michael Porter
Hearing Site: Los Angeles, CA
| | $63 |
| 19-02974 | 12/23/2021 | Claimant(s): Douglas Prezzano, Eric Miller, Heinz Jaeggi, Roger Wacker, Stefan Lendi, Steven Soja, Stewart Bosley
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Dennis S. Ellis
Arbitrator(s): Barbara M. Zak, Marc S. Joseph, Cynthia Cashman Makin
Hearing Site: Los Angeles, CA
| | |
| 20-02482 | 12/23/2021 | Claimant(s): Christopher Cowans
Claimant Lawyers(s): Seth I. Rubinson
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): David Wertz Ellis
Hearing Site: Boston, MA
| | |
| 21-00779 | 12/23/2021 | Claimant(s): Jim Mui
Claimant Lawyers(s): Harris Freedman
Respondent(s): Prudential Equity Group, Raymond James Financial Services., Raymond, James & Associates., UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer E. Novoselsky, John Murphy, Robert M. Rudnicki
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
| | |
| 21-01836 | 12/23/2021 | Claimant(s): Emily Chang
Claimant Lawyers(s): Michelle Atlas
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Shipra K. Rege
Arbitrator(s): Jonathan Polland
Hearing Site: San Francisco, CA
| | |
| 21-01347 | 12/23/2021 | Claimant(s): Elizabeth Hope
Claimant Lawyers(s): Elizabeth Hope
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Mimi B. Osiason
Hearing Site: Jacksonville, FL
| | Expungement |
| 19-01247 | 12/22/2021 | Claimant(s): Steven Mastrovich
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Carl W. Mills
Arbitrator(s): Thomas Caiaffa, Adam B. Lass, Lorrie E Whitfield
Hearing Site: New York, NY
| | |
| 20-03720 | 12/22/2021 | Claimant(s): Francis Mitchell
Claimant Lawyers(s): Francis G. Mitchell
Respondent(s): Christopher Frattini, Gregory Hatzimichael, Mozart Prudent
Respondent Lawyers(s): Michael Utilla
Arbitrator(s): Elizabeth Gilbert, David I. Goldblatt, Robert Morris
Hearing Site: New York, NY
| | |
