| 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
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