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
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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
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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
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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
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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
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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
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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
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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 |