20-03890 | 12/22/2021 | Claimant(s): Shawn Maloney Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Peter Wheeler Arbitrator(s): Josian Antoine Hearing Site: Albany, NY
| | |
21-01264 | 12/22/2021 | Claimant(s): Anthony Arch Claimant Lawyers(s): Brian Luther Respondent(s): Equitable Advisors Respondent Lawyers(s): Ana R. Hartman Arbitrator(s): Kenneth Paul Strongman Hearing Site: San Francisco, CA
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21-02220 | 12/22/2021 | Claimant(s): Samantha Flores Claimant Lawyers(s): Samantha Flores Respondent(s): Aspiration Financial LLC Respondent Lawyers(s): Connor M. Trafton Arbitrator(s): Robert E. Jenks Hearing Site: Los Angeles, CA
| | $2,500 |
19-03148 | 12/22/2021 | Claimant(s): Scort, C.A. Claimant Lawyers(s): Lars Soreide Respondent(s): Morgan Stanley, Paquita Holder Respondent Lawyers(s): Christopher M. Sacco Arbitrator(s): Mark C. Perry, Daniel Joseph Chiodo, Mary C. Walsh Hearing Site: Boca Raton, FL
| | Expungement |
20-01009 | 12/22/2021 | Claimant(s): Cooperativa De Ahorro Y Credito Jayuya Claimant Lawyers(s): Edward H. Glenn Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Sara Soto Arbitrator(s): Richard James Igou, Hiram Lee Tanner, Hector R Lopez-Garcia Hearing Site: San Juan, PR
| | Expungement |
20-03445 | 12/22/2021 | Claimant(s): Joel Barton, Suzanne Fisk, Estate of Joel R. Barton Jr. Claimant Lawyers(s): William J. Garrison Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Putz Respondent Lawyers(s): Logan S. Fisher Arbitrator(s): Daniel J. Pagnano, Jeffrey R. Pendergraft, Michael James Barton Hearing Site: Houston, TX
| | Expungement |
21-00686 | 12/22/2021 | Claimant(s): Ronald Waselenchuk Claimant Lawyers(s): Teresa Verges Respondent(s): Morgan Stanley Respondent Lawyers(s): Irisa Chen Arbitrator(s): Andrea R. Jacobs Hearing Site: Boca Raton, FL
| | Expungement |
19-03014 | 12/22/2021 | Claimant(s): Nuha Rukieh Claimant Lawyers(s): Dennis Murray Respondent(s): Andrey Ilyasov, Ameriprise Financial Services Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Patrick R. Sughroue, Sandra Jo Baumchen, Sheldon Jacob Stark Hearing Site: Detroit, MI
| | $0 |
20-01066 | 12/22/2021 | Claimant(s): Edward Newman Claimant Lawyers(s): Edward K. Newman Respondent(s): Aja Hallin, Beth Kirkland, Elizabeth Roberts, Wells Fargo Clearing Services, Kevin Smith, Sanford Smith, Theresa Machi, Tomm Hudson Respondent Lawyers(s): Geoff Beckham Arbitrator(s): Mary Margaret Bush, David I. Levine, Christopher Cother Powers Hearing Site: San Francisco, CA
| | $0 |
20-03811 | 12/22/2021 | Claimant(s): Matthew Soja, Sharon Soja Claimant Lawyers(s): Howard M. Rosenfield Respondent(s): Eric Hogarth, Joel Johnson, Silver Oak Securities. Respondent Lawyers(s): Chris G. Lazarini, Theodore Snyder Arbitrator(s): Steven R. Rolnick, William D. Stempel, Paul Smith Besson Hearing Site: Hartford, CT
| | Dismissed by Rule 12206 |