23-02473 | 03/15/2024 | Claimant(s): Marie Steinman Claimant Lawyers(s): Robert J. Girard Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Joyce L. Hurley Hearing Site: Los Angeles, CA
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23-01544 | 03/15/2024 | Claimant(s): Kerry Norwood Claimant Lawyers(s): Dochtor Kennedy Respondent(s): VALIC Financial Advisors. Respondent Lawyers(s): Kathryn D. Perrault Arbitrator(s): John Kenneth Popham Hearing Site: Dallas, TX
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23-01315 | 03/15/2024 | Claimant(s): Michael Sievert Claimant Lawyers(s): Peter Lindholm Respondent(s): Arkadios Capital, Triad Advisors LLC Respondent Lawyers(s): Chet C. Payne, Gregory M. Curley Arbitrator(s): Leslie L. Cooney Hearing Site: Jacksonville, FL
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23-01880 | 03/15/2024 | Claimant(s): Janice DeMocker Claimant Lawyers(s): James Brian DeMocker Respondent(s): Morgan Stanley, Teri Kelley Respondent Lawyers(s): Christine Kendrick Arbitrator(s): Matthew Stephen Duchesne Hearing Site: Washington, DC
| | Expungement |
23-02653 | 03/15/2024 | Claimant(s): Douglas Schiffmiller Claimant Lawyers(s): Robert Moses Respondent(s): American Portfolios Financial Srvs. Respondent Lawyers(s): Craig Vollono Arbitrator(s): Linda J. Baer Hearing Site: New York, NY
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23-01455 | 03/15/2024 | Claimant(s): Michael Steffens Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Park Avenue Securities LLC Respondent Lawyers(s): Shabbir Chaudhury Arbitrator(s): Gregory G. Gocek Hearing Site: Milwaukee, WI
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21-02852 | 03/14/2024 | Claimant(s): Anthony DiDonna Claimant Lawyers(s): Anthony Vincent DiDonna Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Rebecca E. Swenson Arbitrator(s): Linda Yarden, Keely D. Parr, Nancy Marie Thevenin Hearing Site: New York, NY
| | $0 |
23-02529 | 03/14/2024 | Claimant(s): Peter Blok Claimant Lawyers(s): Benjamin J. Biard Respondent(s): Grove Point Investments Respondent Lawyers(s): Matt Winterhalter Arbitrator(s): Louis P. Wagman, Leo J. Karwejna, Thomas R Nathan Hearing Site: Philadelphia, PA
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22-02275 | 03/14/2024 | Claimant(s): David Gershoni Claimant Lawyers(s): David John Freniere Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Julie Fleming-Wolfe Arbitrator(s): Hearing Site: Hartford, CT
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23-01474 | 03/13/2024 | Claimant(s): Douglas Greenberg Claimant Lawyers(s): William Bean Respondent(s): Morgan Stanley, Morgan Stanley DW Inc. Respondent Lawyers(s): Christine A. Kendrick Arbitrator(s): Katherine Hendricks Hearing Site: Portland, OR
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