| 23-02111 | 07/19/2024 | Claimant(s): Robert Stefanelli
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Alexander Capital, L.P.
Respondent Lawyers(s): Michele Misiti
Arbitrator(s): Alice E. Winkler, Paul Allan Massaro, Antonio Di Palma
Hearing Site: Jersey City, NJ
| | |
| 23-01409 | 07/18/2024 | Claimant(s): Robert Rumley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Lita S. Menkin
Hearing Site: Atlanta, GA
| | |
| 23-02896 | 07/18/2024 | Claimant(s): Thomas Charmley
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
| | |
| 23-01325 | 07/17/2024 | Claimant(s): Charles Mather
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Truist Securities.
Respondent Lawyers(s): Paul R. Barsness
Arbitrator(s): Robert J. Kheel, Annamaria Boccia Smith, Anna M Barone
Hearing Site: New York, NY
| | |
| 22-02399 | 07/17/2024 | Claimant(s): 2002 Alice H. Hanley Descendants' Trust, E. Nicole H. Pickett 2002 Descendants', Lee Merrill H. Curtis 2002 Descendants', SAR Trust A u/w/o William Lee Hanley Jr., The Hanley 2012 Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Nancy J. Cliff, Michael P. Schiff, Gerald H. Grayson
Hearing Site: Boca Raton, FL
|  | Expungement |
| 23-02994 | 07/17/2024 | Claimant(s): Christopher Rubano
Claimant Lawyers(s): Anthony D. Green
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Jeffrey Alan Helewitz, Carol Maria Luttati, Mark Peter Haslinger
Hearing Site: New York, NY
| | |
| 23-01389 | 07/16/2024 | Claimant(s): David Hartmann
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): David Page, SW Financial
Respondent Lawyers(s): Axos Clearing LLC, David Hilton Page
Arbitrator(s): Lynne M. Reid-McQueen, James M. Rhodes, Jonathan Blank
Hearing Site: New York, NY
| | $135,000 |
| 23-02879 | 07/16/2024 | Claimant(s): Carrie-Beth Randall
Claimant Lawyers(s): William F. Ray
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Langfred W. White, Harvey R. Linder, Laree Payne Kennedy
Hearing Site: Jackson, MS
| | |
| 23-01761 | 07/16/2024 | Claimant(s): Gabriel Jaramillo
Claimant Lawyers(s): Gabriel Jaramillo
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Olivia J. Valentine
Hearing Site: Los Angeles, CA
| | Dimissed by Rule 12504(b) |
| 23-01249 | 07/15/2024 | Claimant(s): Eric Silvestre
Claimant Lawyers(s): Harris Freedman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
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