| 23-01923 | 02/27/2024 | Claimant(s): John Westmoreland
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
| | |
| 23-02491 | 02/26/2024 | Claimant(s): Raymond James & Associates.
Claimant Lawyers(s): Todd Ratner
Respondent(s): Katherine Tarbox
Respondent Lawyers(s): Katherine Alexandra Tarbox
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
| | |
| 22-01176 | 02/26/2024 | Claimant(s): Marlin Andrews
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Stifel, Nicolaus & Co.., William Humber
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Debra Black Leo, Derry Olive Wilcox, Michael Tryon
Hearing Site: Birmingham, AL
|  | $0 |
| 23-00923 | 02/26/2024 | Claimant(s): Miguel Hernandez
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
| | |
| 23-01329 | 02/26/2024 | Claimant(s): Gregory Malin
Claimant Lawyers(s): Harris Freedman
Respondent(s): M&T Securities.
Respondent Lawyers(s): Miriam Dowd
Arbitrator(s): Mark A. Sipper
Hearing Site: Buffalo, NY
| | |
| 22-01799 | 02/26/2024 | Claimant(s): Matthew Bennett, Melissa Bennett
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kuan Huang
Arbitrator(s): Guillermo L. Bosch, Doris J. Dabrowski, Evan K. Aidman
Hearing Site: Philadelphia, PA
| | $425,000 |
| 19-00322 | 02/23/2024 | Claimant(s): Griffin Financial Group
Claimant Lawyers(s): Daniel B. Huyett
Respondent(s): F.N.B. Corporation, First National Bank of Pennsylvania
Respondent Lawyers(s): Michael E. Blumenfeld
Arbitrator(s): James Gregory Yawman, Daniel J. Donovan
Hearing Site: Baltimore, MD
| | |
| 23-02564 | 02/23/2024 | Claimant(s): Evan Savarick
Claimant Lawyers(s): Robert Moses
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brandy Fernandez
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
| | |
| 22-01875 | 02/23/2024 | Claimant(s): Daniel Labes
Claimant Lawyers(s): Christopher Kaye
Respondent(s): Stifel, Nicolaus & Co.., Loren Morrison
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Jeffry M. Bauer, John Polakas, Michele Renee Zinn
Hearing Site: Detroit, MI
| | $0 |
| 23-01355 | 02/23/2024 | Claimant(s): Rabbi Benjamin Blech and Elaine Blech
Claimant Lawyers(s): Michael F. Bachner
Respondent(s): Gilder Gagnon Howe & Co. LLC
Respondent Lawyers(s): Christopher J. Bouchoux
Arbitrator(s): Nancy Kramer, Donald Nevin Gershuny, Ruth G. Kurtz
Hearing Site: New York, NY
| | Expungement |
