| 21-02925 | 04/05/2024 | Claimant(s): Michael Shular
Claimant Lawyers(s): Moshe Y. Singer
Respondent(s): James Stuart, Richfield Orion International.
Respondent Lawyers(s): James Brett Stuart
Arbitrator(s): Mark A. Myers, Kenneth R. Starr, Avery B. Goodman
Hearing Site: Nashville, TN
|  | $1,215,270 |
| 23-02658 | 04/05/2024 | Claimant(s): Tyson Lewis
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | |
| 22-02847 | 04/05/2024 | Claimant(s): Lorenzo Bettino
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Herbert Liberman, Paul E. Dahlman, John (Jack) Louis Neveaux
Hearing Site: Denver, CO
| | $0 |
| 23-01028 | 04/04/2024 | Claimant(s): Scott Namowicz
Claimant Lawyers(s): Bryan L. Tyson
Respondent(s): Sallie LarsenL Financial Holdings Inc. Severance
Respondent Lawyers(s): Roger Scruggs
Arbitrator(s): Richard H. Potter, David M. Pierce, Daniel F. Piar
Hearing Site: Charlotte, NC
| | |
| 19-02942 | 04/04/2024 | Claimant(s): Edna Angeli
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Eric Ross Cromartie, Ross B. Russell, Rayner Mathias Bettendorf
Hearing Site: San Juan, PR
| | Expungement |
| 22-01717 | 04/04/2024 | Claimant(s): Jeffrey Sikirica, Chapter 7, Melvin Pirchesky
Claimant Lawyers(s): Michael J. Betts
Respondent(s): Joanne Park, Keith Moore, Boustead Securities
Respondent Lawyers(s): Jason L. Ott
Arbitrator(s): Peter Glasser, Mark K. Gubinsky, Louis Charles Schmitt
Hearing Site: Pittsburgh, PA
| | |
| 23-03011 | 04/03/2024 | Claimant(s): Loren Weiss
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Nancy Kramer
Hearing Site: New York, NY
| | |
| 23-00552 | 04/03/2024 | Claimant(s): Matthew Jung
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Rosa Linda Guadarrama
Hearing Site: San Diego, CA
| | |
| 23-03017 | 04/03/2024 | Claimant(s): Neil Klein
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): John Franklin Udochi
Hearing Site: New York, NY
| | |
| 23-02557 | 04/03/2024 | Claimant(s): NYLife Securities LLC, New York Life Insurance Company
Claimant Lawyers(s): Christopher J. Murdoch
Respondent(s): Leibish Schwartz
Respondent Lawyers(s): Leibish Schwartz
Arbitrator(s): Michael S. Lazan
Hearing Site: New York, NY
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