| 22-02442 | 07/05/2024 | Claimant(s): Michael Pinkans
Claimant Lawyers(s): Michael Scott Pinkans
Respondent(s): Constance Snowden Capco, Robert Falato, Northern Trust Securities.
Respondent Lawyers(s): H. Nicholas Berberian
Arbitrator(s): Alison Roberts Hardage, Susan S. Bentley, Joel F. Martineau
Hearing Site: Tampa, FL
| | |
| 23-00894 | 07/05/2024 | Claimant(s): Arnold Galman, Galman Family Trust DTD 02/05/96
Claimant Lawyers(s): Carl F. Schoeppl
Respondent(s): Michael Coraggio, Janney Montgomery Scott LLC
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Edward R. Niederriter, Gerald H. Grayson, Lisa Jane Austein
Hearing Site: Boca Raton, FL
|  | $0 |
| 20-00455 | 07/03/2024 | Claimant(s): Christina Aitchison, Thomas Aitchison, Christina S. Aitchison IRA Account, Thomas M. Aitchison IRA Account, TM & CS Aitchison 1998 Revocable Trust
Claimant Lawyers(s): Brandon S. Reif, Jon C. Furgison
Respondent(s): Morgan Stanley, Jim Stephenson, Nicholas Rogers
Respondent Lawyers(s): William D. Briendel
Arbitrator(s): Ralph A. Cotton, Peter H. Daly, Kevin Francis Woodall
Hearing Site: San Francisco, CA
| | Expungement |
| 23-02910 | 07/03/2024 | Claimant(s): Angel Canabal
Claimant Lawyers(s): Russell Del Toro Parra
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
| 22-02639 | 07/03/2024 | Claimant(s): Carlos Pou
Claimant Lawyers(s): Leslie Y Flores
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
| | |
| 23-02974 | 07/02/2024 | Claimant(s): Bradley Hargrave
Claimant Lawyers(s): Harris Freedman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas E. Stagg
Arbitrator(s): Edith M. Novack, Olugbenga Sopeju, Alan Steven Mittleman
Hearing Site: Jersey City, NJ
| | |
| 24-00404 | 07/01/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Gabriel Lee-Sanchez
Respondent(s): Jason Bostian
Respondent Lawyers(s): Jason Bostian
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
| | |
| 23-02710 | 07/01/2024 | Claimant(s): Mark Stern
Claimant Lawyers(s): Harris Freedman
Respondent(s): Beech Hill Securities.
Respondent Lawyers(s): Irwin Weltz
Arbitrator(s): Nancy Plesser Wendell, Vincent C. Pangia, Clarence Smith
Hearing Site: New York, NY
| | |
| 22-02808 | 07/01/2024 | Claimant(s): Michael Huttner
Claimant Lawyers(s): David Allen
Respondent(s): Young America Capital
Respondent Lawyers(s): Maxim Nowak
Arbitrator(s): Frances Johnson Wright, Donald Salcito, Kyu H. Kim
Hearing Site: Denver, CO
| | |
| 24-00372 | 07/01/2024 | Claimant(s): Michael Wadsworth
Claimant Lawyers(s): Michael J. Wadsworth
Respondent(s): Robinhood Securities
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
| | $425 |
