23-01381 | 03/12/2024 | Claimant(s): Bradley Kleinfelter Claimant Lawyers(s): Dochtor Kennedy Respondent(s): TD Ameritrade. Respondent Lawyers(s): Garrett R. Wynne Arbitrator(s): Diane Ciccone Hearing Site: Philadelphia, PA
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23-03044 | 03/12/2024 | Claimant(s): Daniel Egbert, Toria Scotto Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Charlotte S. Wolfe Arbitrator(s): Patricia H. Latham Hearing Site: Washington, DC
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23-03515 | 03/12/2024 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Cory S. Zadanosky Respondent(s): Silvio Borrero Respondent Lawyers(s): Silvio Borrero Arbitrator(s): Robert G. Geeseman Hearing Site: Boca Raton, FL
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22-02381 | 03/12/2024 | Claimant(s): Anthony Colucci, Maryann Colucci, Estate of Richard A. Colucci Claimant Lawyers(s): David J. Freniere Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Joseph L. Calabrese Arbitrator(s): Ivan W. Harper, Linda J. Baer, Amy Jill Baranoff Hearing Site: New York, NY
| | Expungement |
23-02693 | 03/12/2024 | Claimant(s): George Were Obama Claimant Lawyers(s): Thomas Nealy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Tara LaClair Arbitrator(s): Harry G. Mason Hearing Site: Atlanta, GA
| | Dismissed by Rule 12212© |
21-02779 | 03/12/2024 | Claimant(s): Philomena McCloskey, Philomena McCloskey IRA Claimant Lawyers(s): Matthew Thibaut Respondent(s): David Lerner Associates. Respondent Lawyers(s): Eugene L. Small Arbitrator(s): Ronald Harris Kisner Hearing Site: New York, NY
| | $0 |
23-02132 | 03/11/2024 | Claimant(s): Shmuel Maya Claimant Lawyers(s): Brandon M. Taaffe Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Michael A. Gross Arbitrator(s): Kimberly A. Gilmour, Adam Lawrence Frankel, Samuel Adam Katz Hearing Site: Boca Raton, FL
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23-01007 | 03/11/2024 | Claimant(s): Jesse Hadaway Claimant Lawyers(s): Jesse G. Hadaway Respondent(s): Michael Whitaker Respondent Lawyers(s): Gregg J. Breitbart Arbitrator(s): Mauricio Arcadier Hearing Site: Orlando, FL
| | $0 |
23-02226 | 03/11/2024 | Claimant(s): Nancy Littlefield, Stanley Littlefield, Nancy Littlefield IRA, Stanley Littlefield IRA Claimant Lawyers(s): Matthew Thibaut Respondent(s): Triad Advisors LLC, Michael Hensley Respondent Lawyers(s): Zachary Chuey Arbitrator(s): Daniel F. Piar Hearing Site: Charlotte, NC
| | Dismissed by Rule 12206 |
18-03632 | 03/11/2024 | Claimant(s): J. Spencer Dryden Trust, T. Inez Dryden Trust Claimant Lawyers(s): Charles Ferguson Respondent(s): Catherine Angle, Darlene Dye, Raymond James & Associates., Raymond James Financial Services., Marc Miller, Mark Rockower, Phyllis K. Dryden Living Trust Respondent Lawyers(s): Charles Ferguson, Michael S. Lamont, Peter S. Fruin, Phyllis Kay Dryden Arbitrator(s): Philip Aaron Tymon, Alden Sharp Adkins, Scott Dodson Hearing Site: San Francisco, CA
| | Dismissed by Rule 12504 |