| 23-02419 | 03/06/2024 | Claimant(s): Ronald Martin
Claimant Lawyers(s): David B. Cosgrove
Respondent(s): OSAIC Wealth
Respondent Lawyers(s): Greg Curley
Arbitrator(s): Michael J. Meeusen
Hearing Site: St. Louis, MO
| | |
| 22-01795 | 03/06/2024 | Claimant(s): Anne Blazey
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca E. Swenson
Arbitrator(s): Christopher J. Klein, Lisa J. Cappalli, Tyrone Nathaniel Watson
Hearing Site: Orlando, FL
|  | Expungement |
| 23-01238 | 03/06/2024 | Claimant(s): Christopher Wilbratte
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): GWN Securities Inc., Legend Equities Corporation
Respondent Lawyers(s): Jessica E. Levine, Kathy M. Klock
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 23-01126 | 03/05/2024 | Claimant(s): David Liguori
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Catherine Stewart
Hearing Site: Pittsburgh, PA
| | |
| 23-01741 | 03/05/2024 | Claimant(s): Heath Goldstein
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Saad Rahmouni-Idrissi
Arbitrator(s): Mark Astarita, Julian F. Santos, Allan Marain
Hearing Site: Jersey City, NJ
| | |
| 23-02599 | 03/04/2024 | Claimant(s): Craig Sanford
Claimant Lawyers(s): Craig M. Sanford
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Larry Mims
Hearing Site: Atlanta, GA
| | $0 |
| 23-02340 | 03/04/2024 | Claimant(s): Roxann Romano
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
| | |
| 23-02100 | 03/04/2024 | Claimant(s): Patrick Foley
Claimant Lawyers(s): Patrick Michael Foley
Respondent(s): First Union Capital Markets Corp.
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Leo J. Karwejna, John B. Taulane, Elizabeth Ann Morgan
Hearing Site: Philadelphia, PA
| | |
| 23-01195 | 03/04/2024 | Claimant(s): Daniel Southworth
Claimant Lawyers(s): Kathleen Patchel
Respondent(s): Summit Brokerage Service.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Gayle B. Carlson
Hearing Site: Jacksonville, FL
| | |
| 22-01974 | 03/04/2024 | Claimant(s): James Zahringer
Claimant Lawyers(s): Matthew L. Jones
Respondent(s): Raymond James & Associates.
Respondent Lawyers(s): Jordan D. Maglich
Arbitrator(s): Steven N. Ainbinder, Eugene D. Mirabello, Sidney Turner
Hearing Site: Boca Raton, FL
| | |
