23-02984 | 09/20/2024 | Claimant(s): Brian Horn Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): Lincoln Financial Advisors Corporation Respondent Lawyers(s): Richard E. Ramirez Arbitrator(s): Richard E. Lauziere Hearing Site: Baltimore, MD
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24-01346 | 09/20/2024 | Claimant(s): RBC Capital Markets LLC Claimant Lawyers(s): Michael E. Rowe Respondent(s): Joseph Tiderencel Respondent Lawyers(s): Joseph Michael Tiderencel Arbitrator(s): Jim Geiger Hearing Site: Syracuse, NY
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23-01314 | 09/19/2024 | Claimant(s): Vincent Ambroselli Claimant Lawyers(s): Austin Davis Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn Dietrich Perreault Arbitrator(s): Anna M. Fanelli Hearing Site: New York, NY
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23-01624 | 09/19/2024 | Claimant(s): Ramesh Madhusudan Claimant Lawyers(s): Randi Perry Spallina Respondent(s): Raymond James Financial Services., Vfinance Investments Respondent Lawyers(s): Laura Ruiz Rivera, William Groeneveld Arbitrator(s): Edward R. Niederriter Hearing Site: Boca Raton, FL
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22-01026 | 09/18/2024 | Claimant(s): Craig Severin Claimant Lawyers(s): Craig Alan Severin Respondent(s): Wesley Garner Respondent Lawyers(s): Donna K. McElroy Arbitrator(s): Daniel J. Pagnano, Brian James Tagtmeier, Francis Joseph Bourgeois Hearing Site: Houston, TX
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24-01013 | 09/18/2024 | Claimant(s): Jae Young Kim Claimant Lawyers(s): Jae Young Kim Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Lucas Garcia Arbitrator(s): Daniel J. Pagnano Hearing Site: Dallas, TX
| | $38 |
24-00115 | 09/18/2024 | Claimant(s): Sandra Rose Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Pruco Securities. Respondent Lawyers(s): Caitlin P. Cascino Arbitrator(s): Peter M Cosel Hearing Site: Hartford, CT
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22-00485 | 09/17/2024 | Claimant(s): Robert Dunlap Individually & Trustee, Dunlap Exploration., Robert Dunlap, Jr. Trust U/A DTD 2/16/95 Claimant Lawyers(s): David Clouston Respondent(s): Cass Jenkins, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Ellen Sessions Arbitrator(s): Kenneth R. Hanks, Andrea U. Calve, Gary Ricardo Clayton Hearing Site: Dallas, TX
| | Expungement |
24-00654 | 09/17/2024 | Claimant(s): Clinton Wilson Claimant Lawyers(s): Nathan Lamb Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Laura Ruiz Rivera Arbitrator(s): M W Gear, Ellen J. Abrams, Michael John Florio Hearing Site: Boca Raton, FL
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23-00556 | 09/17/2024 | Claimant(s): Aegis Capital Corp. Claimant Lawyers(s): Michael Gilmore Respondent(s): Peter Hirsh Respondent Lawyers(s): Bernard Allen Arbitrator(s): Jill Pilgrim, Camille S. Cooper, Michael Peter Graff Hearing Site: New York, NY
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