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
| | |