| 23-01501 | 06/10/2024 | Claimant(s): Robert Bass
Claimant Lawyers(s): Edison F. Baldwin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Langfred W. White, Richard K. Smith, Alan Daniel Hall
Hearing Site: Nashville, TN
|  | $0 |
| 22-01699 | 06/10/2024 | Claimant(s): The Estate of Margaret Mahaney-Smith
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC, Frederick Arbusto
Respondent Lawyers(s): John W. Joyce
Arbitrator(s): Jo-Marie Lisa, Lynne M. Gomez, Imre Stephen Szalai
Hearing Site: New Orleans, LA
| | Expungement |
| 23-02921 | 06/10/2024 | Claimant(s): Jesus Quezada
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Regulus Financial Group
Respondent Lawyers(s): Wendy Clarke
Arbitrator(s): Robert D. Sussin, Noel Harvey Applebaum, Alan Stanley Petlak
Hearing Site: Los Angeles, CA
| | |
| 23-01978 | 06/10/2024 | Claimant(s): Marc Jacobson
Claimant Lawyers(s): Owen Harnett
Respondent(s): Pruco Securities., Equitable Advisors
Respondent Lawyers(s): Jennifer E. Novoselsky, Michael J. Biondi
Arbitrator(s): Leon Fox, Raymond P. Buschmann, James Hofheimer
Hearing Site: Chicago, IL
| | |
| 23-02538 | 06/07/2024 | Claimant(s): Barnes Keller, Dale Hopkins, David Handy, Doug Ross, Kevin Major, Lawrence Clarke, Robert Burkett, Robert Grasso, Ted Brown
Claimant Lawyers(s): Brandon Dei
Respondent(s): Alexander Simpson, Derrick Walsh, Gary Wiedman, Kathy Faucher, Shawn Kinsella, Axos Clearing LLC
Respondent Lawyers(s): Carl S. Burkhalter
Arbitrator(s): Steven C. Kempisty, Esq.
Hearing Site: Albany, NY
| | Dismissed by Rule 12504 |
| 24-00544 | 06/07/2024 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Richard Montaldo, Jr.
Respondent Lawyers(s): Richard Frank Montaldo, Jr.
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
| | |
| 23-02813 | 06/07/2024 | Claimant(s): Brian Arezzo
Claimant Lawyers(s): Brian Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Washington, DC
| | |
| 23-01628 | 06/07/2024 | Claimant(s): George Koutsos, Alma Industries Inc., GJK Group
Claimant Lawyers(s): Richard Diorio
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, Lawrence Burke
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Michael Jaffe, Ronald Harris Kisner, Gregg Lance Zeoli
Hearing Site: New York, NY
| | $0 |
| 23-03005 | 06/07/2024 | Claimant(s): Wade Papapanagiotu
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Sandra J. Mullings, Clive I. Morrick, Kristoffer B. Mack
Hearing Site: New York, NY
| | |
| 23-03242 | 06/07/2024 | Claimant(s): Jennifer Malhotra, Vineet Malhotra
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Cindy L. Anderson
Hearing Site: Jacksonville, FL
| | $0 |
