| 23-02839 | 05/21/2024 | Claimant(s): Shaun Stein
Claimant Lawyers(s): Brian Luther
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Jersey City, NJ
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| 23-01589 | 05/21/2024 | Claimant(s): Alberto Velasco
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
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| 23-01816 | 05/21/2024 | Claimant(s): Peter Darnell, Randi Gollin
Claimant Lawyers(s): Jessica A. Murzyn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Josefa Antonia Sicard-Mirabal, John Franklin Udochi, Anjelica Cappellino
Hearing Site: New York, NY
|  | Expungement |
| 23-02559 | 05/21/2024 | Claimant(s): Thomas Rapp
Claimant Lawyers(s): Brian Luther
Respondent(s): 1717 Capital Management Company
Respondent Lawyers(s): Daniela Paez
Arbitrator(s): Serge Krimnus
Hearing Site: Jersey City, NJ
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| 23-01532 | 05/21/2024 | Claimant(s): Angel Canabal
Claimant Lawyers(s): Russell Del Toro Parra
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 23-02775 | 05/21/2024 | Claimant(s): James Shuttleworth
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Shannon M. Wheaton
Arbitrator(s): David Adams Reif
Hearing Site: Hartford, CT
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| 23-02761 | 05/21/2024 | Claimant(s): Joseph Diorio
Claimant Lawyers(s): Stephan Louviere
Respondent(s): J.J.B. Hilliard, W.L. Lyons, Banc of America Investment Services Inc.
Respondent Lawyers(s): Katelyn H. Wilson, Todd A. Holleman
Arbitrator(s): George Forest Bingham
Hearing Site: Philadelphia, PA
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| 22-02398 | 05/21/2024 | Claimant(s): Roger Martyna
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): William J. Bender, Al Van Kampen, Frederick Allan Kaseburg
Hearing Site: Seattle, WA
| | $0 |
| 22-02146 | 05/20/2024 | Claimant(s): The Estate of Adam K. Miller
Claimant Lawyers(s): Kevin Conway
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Edward Baer, William E. Nuckel, Kenneth Paul Williams
Hearing Site: New York, NY
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| 23-02807 | 05/20/2024 | Claimant(s): Nicholas Efthemis
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Dissen
Hearing Site: Buffalo, NY
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