| 22-01809 | 05/31/2024 | Claimant(s): Andrew Mykletun, Einar Mykletun, Nidhi Mykletun
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): American Trust Investment Services.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Edith N. Dinneen, Maureen Weston, Delton R Henderson
Hearing Site: Los Angeles, CA
|  | Expungement |
| 23-01902 | 05/31/2024 | Claimant(s): Curt Hall
Claimant Lawyers(s): Clayton B. McCullough
Respondent(s): UBS Financial Services Inc., Mary Reid
Respondent Lawyers(s): D. Randle Moody
Arbitrator(s): Mauricio Arcadier, Dana R. Krajack, John Norman Lindsay
Hearing Site: Columbia, SC
| | |
| 23-02638 | 05/30/2024 | Claimant(s): Martin Walcoe
Claimant Lawyers(s): Michael Shannon
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Allen Holeman
Arbitrator(s): Howard D. Jacob, Sam Antar, Thomas Hynes
Hearing Site: New York, NY
| | |
| 23-03176 | 05/30/2024 | Claimant(s): Stephen Ferguson
Claimant Lawyers(s): Stephen Ferguson
Respondent(s): Ameriprise Financial Services, Mark Giordano, Riversource Distributors.
Respondent Lawyers(s): Sydney Crowder Franco
Arbitrator(s): Cynthia A. DiMarco
Hearing Site: New York, NY
| | $0 |
| 24-00018 | 05/30/2024 | Claimant(s): Michael Djus
Claimant Lawyers(s): Michael Djus
Respondent(s): John Hancock Distributors LLC
Respondent Lawyers(s): Steven E. Sexton
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Milwaukee, WI
| | $34,931 |
| 23-02722 | 05/30/2024 | Claimant(s): Sneha Mahajan
Claimant Lawyers(s): James P. Galvin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Linda J. Baer
Hearing Site: Jersey City, NJ
| | |
| 23-01449 | 05/30/2024 | Claimant(s): John Paul Morales
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Amanda L. Parisi
Arbitrator(s): John Francis Markuns
Hearing Site: Hartford, CT
| | |
| 23-02784 | 05/29/2024 | Claimant(s): John Lyons, J. Lyons Fund Management.
Claimant Lawyers(s): Michael R. Karnuth
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | |
| 23-02948 | 05/29/2024 | Claimant(s): Vincent Catalano
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Richard E. Ramirez
Arbitrator(s): Louis P. Wagman
Hearing Site: Wilmington, DE
| | |
| 23-02747 | 05/29/2024 | Claimant(s): Brian Visconti
Claimant Lawyers(s): Richard S. Meisner
Respondent(s): The Jeffrey Matthews Financial Group LLC
Respondent Lawyers(s): Ginny Colarusso
Arbitrator(s): Carole Crosby
Hearing Site: Tampa, FL
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