| 21-00530 | 09/23/2021 | Claimant(s): Wen Wu
Claimant Lawyers(s): Zachary T. Hayes- Macaluso
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
| | |
| 21-01497 | 09/23/2021 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Patrick J. Bradley
Respondent(s): Ricardo Turlan
Respondent Lawyers(s): Ricardo Turlan
Arbitrator(s): Michael Louis Goldstone
Hearing Site: Houston, TX
| | |
| 20-03580 | 09/23/2021 | Claimant(s): Clifford Moon
Claimant Lawyers(s): Kevin P. Krupnick
Respondent(s): Yousuf Saljooki
Respondent Lawyers(s): Yousuf Saljooki
Arbitrator(s): James E. Bartels
Hearing Site: Seattle, WA
|  | $34,185 |
| 20-01070 | 09/23/2021 | Claimant(s): Jess DiPasquale
Claimant Lawyers(s): Alan L. Rosca
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Betty Chen, Harrison Johnson, Emily Diamond
Hearing Site: New York, NY
| | $0 |
| 20-03678 | 09/23/2021 | Claimant(s): Beyhan Kocatas, Eray Alkis, Erkan Alkis, Raymond Tanza, Steve Skiles
Claimant Lawyers(s): Jeff M. Meyerson
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Joseph Neal Richardson, John Gary Langford, Scott F Stains
Hearing Site: Dallas, TX
| | $0 |
| 21-00017 | 09/23/2021 | Claimant(s): Raymond Jallow
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Edith N. Dinneen, Robert B. Hansohn, Loreta Azarian
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 20-00217 | 09/22/2021 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Anthony J Borrelli
Respondent(s): Jason Seifert
Respondent Lawyers(s): Jeffrey C. Miller
Arbitrator(s): Robert J. Scafuri, Robert M. Shwab, David Minc
Hearing Site: Cleveland, OH
| | |
| 20-03183 | 09/22/2021 | Claimant(s): Timothy Longo
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Morgan Stanley DW Inc., Trident Partners Ltd.
Respondent Lawyers(s): Jeremy S. Winer, Nicholas Scavone
Arbitrator(s): Patricia Kathleen Costello
Hearing Site: New York, NY
| | |
| 20-04207 | 09/22/2021 | Claimant(s): Alex Shore
Claimant Lawyers(s): Bejamin J. Biard
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Thomas Joseph Atkinson, Douglas Charles Weinstein, Sara Francis Hoover
Hearing Site: Nashville, TN
| | |
| 21-00160 | 09/22/2021 | Claimant(s): Aya Metwally
Claimant Lawyers(s): Ian McLoughlin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): William A. Barrett, Gerard S. Marsan, Frederick W. Keuthen
Hearing Site: Boston, MA
| | |
