| 23-02633 | 01/18/2024 | Claimant(s): Robert Procaccianti
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Maya Steinitz
Hearing Site: Providence, RI
| | |
| 23-01365 | 01/18/2024 | Claimant(s): Michelle Anthony
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Chase Investment Services Corp., Wells Fargo Clearing Services
Respondent Lawyers(s): Charlton Young, Neal S. Robb
Arbitrator(s): Erik R. Siering
Hearing Site: Phoenix, AZ
| | |
| 23-02157 | 01/18/2024 | Claimant(s): Eric Johnson
Claimant Lawyers(s): Eric Johnson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kevin S. Blume
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
|  | $0 |
| 23-00826 | 01/18/2024 | Claimant(s): Michael McGee
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Investment Professionals.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Robert J. Gregory, Robert Sullivan Tyler, Terry Lynn Buffalo
Hearing Site: Little Rock, AR
| | |
| 23-01706 | 01/18/2024 | Claimant(s): Brian Farkas
Claimant Lawyers(s): Robert Moses
Respondent(s): American Portfolios Financial Srvs.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
| | |
| 23-00156 | 01/18/2024 | Claimant(s): Robert Binkowski
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Lucia Securities
Respondent Lawyers(s): Tiy O'Neal
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
| | |
| 22-02893 | 01/17/2024 | Claimant(s): Daniel Walter
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Richard W. Dissen
Hearing Site: Buffalo, NY
| | Expungement |
| 23-01001 | 01/17/2024 | Claimant(s): Ernest Montavon
Claimant Lawyers(s): Brian Luther
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Mark A. Pratzel
Arbitrator(s): Peter E. Gillespie
Hearing Site: Hartford, CT
| | |
| 22-01894 | 01/16/2024 | Claimant(s): Western International Securities.
Claimant Lawyers(s): Eric A. Michaels
Respondent(s): Amar Toma
Respondent Lawyers(s): Amar Toma
Arbitrator(s): Tracy L. Allen, Carl E. Ver Beek, Richard Edward Rassel
Hearing Site: Detroit, MI
| | $353,717 |
| 23-01783 | 01/12/2024 | Claimant(s): Ghiass Ali, Sunshine Financial Solutions of South FL
Claimant Lawyers(s): Demetrios Pavlou
Respondent(s): Scott Storick
Respondent Lawyers(s): Scott R. Storick
Arbitrator(s): William Kent Brown
Hearing Site: Boca Raton, FL
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