| 22-00898 | 04/25/2024 | Claimant(s): Margaret van Krieken, Roeland van Krieken
Claimant Lawyers(s): Marc Fitapelli
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Herb Schwartz, Philip Aaron Tymon, Dennis Markham Smith
Hearing Site: San Francisco, CA
|  | Expungement |
| 23-01494 | 04/25/2024 | Claimant(s): Richard Thomas
Claimant Lawyers(s): Alex Padla
Respondent(s): SunAmerica Securities., SII Investments.
Respondent Lawyers(s): Eric A. Michaels, Jennifer R. Cox
Arbitrator(s): Katherine Hendricks
Hearing Site: Portland, OR
| | |
| 22-01848 | 04/25/2024 | Claimant(s): X
Claimant Lawyers(s): Mark S. Gregory
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Edward A. Trabin, Isaac K. Tasinga, Gecole L. Harley
Hearing Site: Los Angeles, CA
| | $0 |
| 23-02474 | 04/25/2024 | Claimant(s): Zak Shaik
Claimant Lawyers(s): Zak Shaik
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Caitlin P. Cascino
Arbitrator(s): Edward W. Morris, Jess A. Bunshaft, Alan Steven Mittleman
Hearing Site: Jersey City, NJ
| | |
| 23-01535 | 04/24/2024 | Claimant(s): Stephen Ferencik
Claimant Lawyers(s): Michael Kalmus
Respondent(s): Morgan Stanley DW Inc., Triad Advisors LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Brandy Fernandez, Greg Curley, John Murphy
Arbitrator(s): Jeffrey Alperin, Christopher R Carroll, Chanteasea Pyron Swain
Hearing Site: Atlanta, GA
| | |
| 23-03198 | 04/24/2024 | Claimant(s): Dean Donohue
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Douglas M. Branson, J.G. Long, Shawn Ridgell
Hearing Site: Louisville, KY
| | |
| 23-02687 | 04/24/2024 | Claimant(s): Connor Aronis
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Michael J Norton
Hearing Site: Wichita, KS
| | |
| 24-00252 | 04/24/2024 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): James Czerniak
Respondent Lawyers(s): James Allen Czerniak
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | |
| 23-00443 | 04/24/2024 | 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
| | |
| 23-00420 | 04/24/2024 | Claimant(s): Leonid Krimotat, Sima Bergelson
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Kevin C. Coleman
Hearing Site: San Francisco, CA
| | $0 |
