| 20-03005 | 10/13/2021 | Claimant(s): Andrew Burish
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Philip J. Glick
Hearing Site: Milwaukee, WI
| | |
| 21-02038 | 10/13/2021 | Claimant(s): Michael Chudd
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Las Vegas, NV
| | |
| 19-00628 | 10/13/2021 | Claimant(s): Anita Karsch, Estate of Alvin Ralph Karsch
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Morgan Stanley, Roxann Romano
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Richard A. Cini, Michael Jaffe, Brian John Gallagher
Hearing Site: New York, NY
|  | Expungement |
| 20-03078 | 10/13/2021 | Claimant(s): James Alexander
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Joseph Depasquale, American Capital Partners
Respondent Lawyers(s): Michael H. Ference
Arbitrator(s): Bill Swinford, Frederick Ramos, Janet Marie Graham
Hearing Site: Louisville, KY
| | Expungement |
| 21-00941 | 10/13/2021 | Claimant(s): Alex Rucks
Claimant Lawyers(s): Nathan C. Volheim
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Sal Presti
Hearing Site: Chicago, IL
| | $175 |
| 20-03644 | 10/12/2021 | Claimant(s): Derrick Colby
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
| | |
| 21-00899 | 10/12/2021 | Claimant(s): Mark Scordato
Claimant Lawyers(s): Kimberly A. Koves
Respondent(s): G.F. Investment Services
Respondent Lawyers(s): Larry Yager
Arbitrator(s): Louis H Miron, Linda T. Pellegrino, Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
| | |
| 19-00440 | 10/12/2021 | Claimant(s): Sheila Schwartz
Claimant Lawyers(s): David P. Meyer
Respondent(s): Thomas McDonald, McDonald Partners.
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): James Dale Ellis, Carol Jean Bader, Kevin Brodar
Hearing Site: Cleveland, OH
| | $360,000 |
| 20-00221 | 10/12/2021 | Claimant(s): John Kirchner, Patricia Kirchner, John and Patricia Kirchner JTWROS
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Cheryl Romann
Respondent Lawyers(s): Cheryl Lynn Romann
Arbitrator(s): Jeffrey W. Jacobs, Grant D. Sanders, John M. James
Hearing Site: Minneapolis, MN
| | Expungement |
| 20-03649 | 10/12/2021 | Claimant(s): Marilyn Lamberta-Mosca, Marilyn Lamberta-Mosca IRA, Dennis Mosca & Marilyn Lamberta-Mosca, Marilyn Lamberta-Mosca TOD
Claimant Lawyers(s): Matt E. Wolper
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Briana K. Huffer
Arbitrator(s): Howard D. Jacob, Ann Judith Gellis, Kerry-Ann Austin
Hearing Site: New York, NY
| | Expungement |
