| 23-01449 | 05/30/2024 | Claimant(s): John Paul Morales
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Amanda L. Parisi
Arbitrator(s): John Francis Markuns
Hearing Site: Hartford, CT
| | |
| 23-02784 | 05/29/2024 | Claimant(s): John Lyons, J. Lyons Fund Management.
Claimant Lawyers(s): Michael R. Karnuth
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | |
| 23-02948 | 05/29/2024 | Claimant(s): Vincent Catalano
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Richard E. Ramirez
Arbitrator(s): Louis P. Wagman
Hearing Site: Wilmington, DE
| | |
| 23-02747 | 05/29/2024 | Claimant(s): Brian Visconti
Claimant Lawyers(s): Richard S. Meisner
Respondent(s): The Jeffrey Matthews Financial Group LLC
Respondent Lawyers(s): Ginny Colarusso
Arbitrator(s): Carole Crosby
Hearing Site: Tampa, FL
| | |
| 23-00908 | 05/28/2024 | Claimant(s): Anita Brennan
Claimant Lawyers(s): Leslie Y. Flores
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
| 23-02118 | 05/28/2024 | Claimant(s): NewBridge Securities Corp.
Claimant Lawyers(s): Gregg J Breitbart
Respondent(s): Gaetano Magarelli
Respondent Lawyers(s): Gaetano Magarelli
Arbitrator(s): John B. Sochacki
Hearing Site: Boca Raton, FL
| | |
| 23-01712 | 05/28/2024 | Claimant(s): Corey Haber
Claimant Lawyers(s): Corey J. Haber
Respondent(s): Morgan Stanley, Rj Malcampo, Rosita Kaufman
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Robert J. Scafuri, Carl E. Ver Beek, Mark Gregory Brackon
Hearing Site: Detroit, MI
|  | Expungement |
| 23-00282 | 05/28/2024 | Claimant(s): Donald Saunders, IRA
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Concourse Financial Group Securities, In
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Leah Murray Albert, Kim L. Kirn, David E. Crawford
Hearing Site: St. Louis, MO
| | $1,214,750 |
| 22-01491 | 05/24/2024 | Claimant(s): Gregory Martini
Claimant Lawyers(s): Aaron A. Romney
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Barbara Black, Mitchel Weiss, Bradley Reynolds
Hearing Site: Atlanta, GA
| | $0 |
| 23-03265 | 05/24/2024 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Federico Cardona
Respondent Lawyers(s): Federico Cardona
Arbitrator(s): Langfred W. White
Hearing Site: Orlando, FL
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