23-02468 | 12/29/2023 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing Claimant Lawyers(s): Alan S. Brodherson Respondent(s): Kwame Adusei Respondent Lawyers(s): Kwame Adusei Arbitrator(s): Jay Alan Kranis Hearing Site: New York, NY
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22-02525 | 12/29/2023 | Claimant(s): Dale Deutsch, Lou Deutsch, Dale G. Deutsch Revocable Living Trust, Lou C. Deutsch Revocable Living Trust Claimant Lawyers(s): Jacob H. Zamansky Respondent(s): Vanguard Marketing Corporation Respondent Lawyers(s): Paula D. Shaffner Arbitrator(s): Arthur Neil Tolciss, Barry Steven Port, Mitchell Regenbogen Hearing Site: New York, NY
| | Expungement |
23-02276 | 12/29/2023 | Claimant(s): Junya Zhang Claimant Lawyers(s): Junya Zhang Respondent(s): Moomoo Financial Inc. Respondent Lawyers(s): Cameron S. Matheson Arbitrator(s): Edith M. Novack Hearing Site: Jersey City, NJ
| | $54 |
22-02207 | 12/28/2023 | Claimant(s): Stifel, Nicolaus & Co.. Claimant Lawyers(s): Craig Stein Respondent(s): David Ferneding Respondent Lawyers(s): David Jerome Ferneding Arbitrator(s): Lawrence R. Maxwell Hearing Site: Dallas, TX
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23-01214 | 12/28/2023 | Claimant(s): Robert Karp Claimant Lawyers(s): Harris Freedman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Brian John Gallagher Hearing Site: New York, NY
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22-01420 | 12/28/2023 | Claimant(s): Brian Wells Claimant Lawyers(s): Brian Wells Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Professional Clearing Corp, BOFA Securities. Respondent Lawyers(s): Ronald Smith Arbitrator(s): William A. Barrett, Linda J. Baer, Gregory Hunter Mathews Hearing Site: Manchester, NH
| | $0 |
23-01464 | 12/28/2023 | Claimant(s): Arthur Grossbard Claimant Lawyers(s): Everett Pritchard Respondent(s): OSAIC Wealth Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Michael H DuBoff Hearing Site: Jersey City, NJ
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23-01363 | 12/27/2023 | Claimant(s): Mark Gopen, Philip Weinisch Claimant Lawyers(s): Brandon M. Taaffe Respondent(s): Cambridge Investment Research. Respondent Lawyers(s): Jeanette E. Dennis Arbitrator(s): Thomas E. Duggan, Ellyn S. Roth, Gerald M. Levine Hearing Site: New York, NY
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22-02428 | 12/27/2023 | Claimant(s): Matthew Smith Claimant Lawyers(s): Jonathan S. McCardle Respondent(s): George McAvoy, Securities America., Richard Tomisman, William Selig, CP Capital Management Respondent Lawyers(s): Gregory M. Curley, Justin A. Heller Arbitrator(s): Martin John Satalin, Stuart Eliot Finer Hearing Site: Albany, NY
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23-00781 | 12/26/2023 | Claimant(s): Mikal Haddad Claimant Lawyers(s): Tosh Grebenik Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Thomas E. Stagg Arbitrator(s): Richard W. Cutler, Jill Pilgrim, Tangela Griffin Hearing Site: New York, NY
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