| 23-02874 | 05/24/2024 | Claimant(s): Ronald Hoyle
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Grove Point Investments, J.W. Cole Financial.
Respondent Lawyers(s): Gregg J. Breitbart, Matt Winterhalter
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
| | |
| 23-03236 | 05/24/2024 | Claimant(s): Gregory Manto
Claimant Lawyers(s): David E. Robbins
Respondent(s): Michael Quinn
Respondent Lawyers(s): Michael James Quinn
Arbitrator(s): Linda J. Baer
Hearing Site: New York, NY
| | |
| 22-02854 | 05/24/2024 | Claimant(s): Andrew Channon, David Parker, Joel Meyer, Larry Madsen, Paul Kennedy
Claimant Lawyers(s): Brandon Dei
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Sameer Rastogi
Arbitrator(s): Gregory G. Gocek, Henry George Grendell, Michael Jay Teitelbaum
Hearing Site: Cleveland, OH
|  | $0 |
| 22-02770 | 05/24/2024 | Claimant(s): Mary Markham, Michael Markham
Claimant Lawyers(s): Scott L. Silver
Respondent(s): IFP Securities
Respondent Lawyers(s): Scott N. Sherman
Arbitrator(s): Christopher J. Klein, Guno Orlando Ritfeld, Mary Ann Etzler
Hearing Site: Orlando, FL
| | Expungement |
| 23-00696 | 05/24/2024 | Claimant(s): Mark Schrader
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Madelon M. Rosenfeld, Glen R. Stifelman, Eugene G. P. Byrne
Hearing Site: New York, NY
| | |
| 23-02878 | 05/24/2024 | Claimant(s): Raymond Chera
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Capital One Investing
Respondent Lawyers(s): Ted A. Gehring
Arbitrator(s): Ira A. Auerbach
Hearing Site: New York, NY
| | |
| 23-03027 | 05/24/2024 | Claimant(s): Scott Rosenberg
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Harvey E. Benjamin
Hearing Site: New York, NY
| | |
| 24-00091 | 05/24/2024 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John McGuire
Respondent(s): Zachary Taylor
Respondent Lawyers(s): Zachary Ellis Taylor
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 23-02877 | 05/23/2024 | Claimant(s): Mitchell Kramer
Claimant Lawyers(s): William Preston Martin
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Efrat Cohen
Arbitrator(s): Mauricio Arcadier
Hearing Site: Columbia, SC
| | |
| 23-01074 | 05/23/2024 | Claimant(s): Kay Klein, Roy Klein
Claimant Lawyers(s): Christopher Lufrano
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca Swenson
Arbitrator(s): Sal Presti, Gregory G. Gocek, Debra J. Tucker
Hearing Site: Chicago, IL
| | Expungement |
