22-01309 | 02/12/2024 | Claimant(s): Christine Moullet Claimant Lawyers(s): Lars Soreide Respondent(s): IFP Advisors, IFP Securities Respondent Lawyers(s): Peter Lindholm Arbitrator(s): John P. Cullem, Philip Whitworth Engle, Lisa J. Cappalli Hearing Site: Orlando, FL
| | Expungement |
23-00173 | 02/12/2024 | Claimant(s): Carol Simard, Kenyon Simard Claimant Lawyers(s): David A Weintraub Respondent(s): Kevin Hobbs Respondent Lawyers(s): Kevin Andrew Hobbs Arbitrator(s): Steven E. Eisenberg, Stuart Bruce Klein, Howard M Forman Hearing Site: Boca Raton, FL
| | $525,000 |
23-02242 | 02/12/2024 | Claimant(s): Jonathan Socha Claimant Lawyers(s): Jonathan Socha Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Rebecca Swenson Arbitrator(s): Andrew M. Mintzer Hearing Site: Denver, CO
| | $0 |
23-01746 | 02/12/2024 | Claimant(s): Terry Hopkins Claimant Lawyers(s): Terry Hopkins Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Andrew Joyce Arbitrator(s): Thomas P. Valenti Hearing Site: Chicago, IL
| | $0 |
23-02250 | 02/12/2024 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing Claimant Lawyers(s): Todd Ratner Respondent(s): Gerald Fils Respondent Lawyers(s): Gerald Louis Fils Arbitrator(s): David Paul Clark Hearing Site: Washington, DC
| | |
23-02285 | 02/12/2024 | Claimant(s): Michael Goodner Claimant Lawyers(s): Michael Eugene Goodner Respondent(s): Triad Advisors LLC Respondent Lawyers(s): Gregory Curley Arbitrator(s): Karl A. Vogeler Hearing Site: Nashville, TN
| | |
23-00393 | 02/09/2024 | Claimant(s): Jose Chaves Claimant Lawyers(s): Russell Del Toro Parra Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Sonia M. Lopez del Valle Arbitrator(s): Christopher J. Klein Hearing Site: San Juan, PR
| | |
20-01555 | 02/09/2024 | Claimant(s): The Amvona Fund Claimant Lawyers(s): Ian J. McLoughlin Respondent(s): Christopher Pento, Joseph Vencil, Clear Street Respondent Lawyers(s): Gayle R. Klein Arbitrator(s): James E. Kleinbaum, Catherine Stewart, Michael A. Orticelle Hearing Site: Albany, NY
| | $0 |
23-02128 | 02/09/2024 | Claimant(s): Andrew Perry, Todd Perry Claimant Lawyers(s): Robert Moses Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Guillermo L. Bosch Hearing Site: Philadelphia, PA
| | |
23-01811 | 02/09/2024 | Claimant(s): Keith Vandyke Claimant Lawyers(s): Brian Luther Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Laura Ruiz Rivera Arbitrator(s): Joseph Neal Richardson Hearing Site: Oklahoma City, OK
| | |