| 23-02538 | 06/07/2024 | Claimant(s): Barnes Keller, Dale Hopkins, David Handy, Doug Ross, Kevin Major, Lawrence Clarke, Robert Burkett, Robert Grasso, Ted Brown
Claimant Lawyers(s): Brandon Dei
Respondent(s): Alexander Simpson, Derrick Walsh, Gary Wiedman, Kathy Faucher, Shawn Kinsella, Axos Clearing LLC
Respondent Lawyers(s): Carl S. Burkhalter
Arbitrator(s): Steven C. Kempisty, Esq.
Hearing Site: Albany, NY
|  | Dismissed by Rule 12504 |
| 24-00544 | 06/07/2024 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Richard Montaldo, Jr.
Respondent Lawyers(s): Richard Frank Montaldo, Jr.
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
| | |
| 23-02813 | 06/07/2024 | Claimant(s): Brian Arezzo
Claimant Lawyers(s): Brian Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Washington, DC
| | |
| 23-01628 | 06/07/2024 | Claimant(s): George Koutsos, Alma Industries Inc., GJK Group
Claimant Lawyers(s): Richard Diorio
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services, Lawrence Burke
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Michael Jaffe, Ronald Harris Kisner, Gregg Lance Zeoli
Hearing Site: New York, NY
| | $0 |
| 23-03005 | 06/07/2024 | Claimant(s): Wade Papapanagiotu
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Sandra J. Mullings, Clive I. Morrick, Kristoffer B. Mack
Hearing Site: New York, NY
| | |
| 23-03242 | 06/07/2024 | Claimant(s): Jennifer Malhotra, Vineet Malhotra
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Cindy L. Anderson
Hearing Site: Jacksonville, FL
| | $0 |
| 23-00526 | 06/07/2024 | Claimant(s): Kurt Cichy, Michelle Cichy
Claimant Lawyers(s): David Meyer
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Michael N. Ungar
Arbitrator(s): Charles D. Hays, Raymond P. Buschmann, Timothy Schoewe
Hearing Site: Milwaukee, WI
| | $0 |
| 20-02474 | 06/07/2024 | Claimant(s): James Rudwall
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael F. Braun
Arbitrator(s): Gregory G. Gocek, Susan L. Walker
Hearing Site: Chicago, IL
| | |
| 23-01122 | 06/07/2024 | Claimant(s): William Straub
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Thomas W. Allen
Hearing Site: Dallas, TX
| | |
| 22-01890 | 06/07/2024 | Claimant(s): The Revocable Trust of Declan P. Doogan
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Goldman Sachs & Co. LLC
Respondent Lawyers(s): Brian A. Briz
Arbitrator(s): Peter Shapiro, Lisa Jane Austein, Jan Duda Krafczek
Hearing Site: Boca Raton, FL
| | $0 |
