| 24-00216 | 04/29/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Keith J. Barnett
Respondent(s): Howard Graham
Respondent Lawyers(s): Howard Okeefe Graham
Arbitrator(s): Robert H. Putnam
Hearing Site: Jackson, MS
| | |
| 24-00260 | 04/29/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Carlin A. McCrory
Respondent(s): Tony Graybeal
Respondent Lawyers(s): Tony Graybeal
Arbitrator(s): Christopher J. Klein
Hearing Site: Orlando, FL
| | |
| 23-02246 | 04/29/2024 | Claimant(s): Darrin Cohen
Claimant Lawyers(s): Brian Luther
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Greg Curley
Arbitrator(s): Andy W. Morgan
Hearing Site: Atlanta, GA
| | |
| 23-02189 | 04/29/2024 | Claimant(s): Yolanda Rosich Clemente
Claimant Lawyers(s): Sara L. Velez Santiago
Respondent(s): Popular Securities.
Respondent Lawyers(s): Mariela M. Ramirez Morales
Arbitrator(s): Nancy J. Cliff
Hearing Site: San Juan, PR
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| 23-02762 | 04/29/2024 | Claimant(s): Jeffrey Hill
Claimant Lawyers(s): Robert Moses
Respondent(s): American Portfolios Financial Srvs.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 23-02932 | 04/29/2024 | Claimant(s): Chadwick Richards
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Harvey R. Linder
Hearing Site: Nashville, TN
| | |
| 20-02486 | 04/26/2024 | Claimant(s): Rebecca Timmerman, Sherry Baker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): David E. Crawford
Hearing Site: St. Louis, MO
| | |
| 23-02870 | 04/26/2024 | Claimant(s): Williams Butcher
Claimant Lawyers(s): Seth Ian Rubinson
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Myra P. Nicholson
Arbitrator(s): Oren L. Connaway, David Aaron DeSoto, James Douglas Gaughan
Hearing Site: Houston, TX
| | |
| 22-02912 | 04/26/2024 | Claimant(s): Vicente Castillo
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey Medina
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
| | |
| 22-02215 | 04/26/2024 | Claimant(s): Gilda Scharf for her IRA, Stanley Scharf for his IRA, Stanley Scharf and Gilda Scharf
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Seth L. Finkel, Edward R. Niederriter, Carolyn E. Moore
Hearing Site: Boca Raton, FL
|  | Expungement |
