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 |