| 23-00733 | 12/19/2023 | Claimant(s): John Dewitt
Claimant Lawyers(s): Harris Freedman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Leonel Peraza, Jr.
Arbitrator(s): Barry David Thorpe
Hearing Site: Boca Raton, FL
| | |
| 23-02352 | 12/19/2023 | Claimant(s): Wendy Holmes
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Jay Alan Kranis
Hearing Site: New York, NY
| | |
| 23-01714 | 12/19/2023 | Claimant(s): Christine Gustafson, Karen Landau
Claimant Lawyers(s): Karen Landau
Respondent(s): Margaret Latta, TD Ameritrade.
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Linda J. Baer
Hearing Site: Jersey City, NJ
|  | $425 |
| 23-01207 | 12/19/2023 | Claimant(s): Andrew Denney
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Kansas City, MO
| | |
| 23-00713 | 12/18/2023 | Claimant(s): Albert Kohout
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
| | |
| 23-00424 | 12/18/2023 | Claimant(s): Michael O'Neill
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Howard L. Haykin, Karen Isabel Bedrosian - Richardson, Eric Goldman
Hearing Site: New York, NY
| | |
| 22-01671 | 12/18/2023 | Claimant(s): Gelila Jones, Jay Jones
Claimant Lawyers(s): Jonathan Schwartz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Jacquelyn M. Shannon, Terrence L. Harvey, Catherine Michelle Straley-Edson
Hearing Site: Jacksonville, FL
| | Expungement |
| 23-01465 | 12/18/2023 | Claimant(s): Nazeeh Aranki
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | |
| 23-01370 | 12/18/2023 | Claimant(s): Jorge Vielledent
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Kevin W. Brooks
Arbitrator(s): Donald Dreyfus
Hearing Site: Albuquerque, NM
| | |
| 23-01904 | 12/18/2023 | Claimant(s): Witzel Living Trust dtd June 13, 1994
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Colorado Financial Service Corporation
Respondent Lawyers(s): William Nelson
Arbitrator(s): Daniel B. MacLeod, Jay M. Schornstein, Lorena Reynolds
Hearing Site: Portland, OR
| | Dismissed by Rule 12206 |
