| 23-02741 | 07/11/2024 | Claimant(s): Stephen Mosca
Claimant Lawyers(s): Craig Stein
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Steven N. Ainbinder, Edward Alexander Jaffe, Rosemarie Elizabeth Stoffo
Hearing Site: Boca Raton, FL
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| 22-01673 | 06/21/2024 | Claimant(s): Adam Vega
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Goldman Sachs & Co. LLC
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
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| 23-01167 | 04/26/2024 | Claimant(s): Charles Skipper
Claimant Lawyers(s): Harris Freedman
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
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| 22-01974 | 03/04/2024 | Claimant(s): James Zahringer
Claimant Lawyers(s): Matthew L. Jones
Respondent(s): Raymond James & Associates.
Respondent Lawyers(s): Jordan D. Maglich
Arbitrator(s): Steven N. Ainbinder, Eugene D. Mirabello, Sidney Turner
Hearing Site: Boca Raton, FL
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| 23-01000 | 01/02/2024 | Claimant(s): Doel Garciaromero
Claimant Lawyers(s): Ubaldo M. Fernandez-Barrera
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Steven N. Ainbinder
Hearing Site: San Juan, PR
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| 22-02937 | 10/12/2023 | Claimant(s): Fernando Gonzalez
Claimant Lawyers(s): Russell Del Toro
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Steven N. Ainbinder
Hearing Site: San Juan, PR
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| 22-01938 | 05/23/2023 | Claimant(s): Henry Krich
Claimant Lawyers(s): Craig Stein
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers, Jr.
Arbitrator(s): Steven N. Ainbinder, Will Murphy, Carl Joseph Domino
Hearing Site: Boca Raton, FL
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| 22-00822 | 05/11/2023 | Claimant(s): Troy Goldberg
Claimant Lawyers(s): Zachary Morse
Respondent(s): Monroe Parker Securities., National Securities Corporation, NewBridge Securities Corp., Fin-Atlantic Securities.
Respondent Lawyers(s): Alan Lipsky, Emily A. Hayes, Jerry E. Surman, Zachary Hayes-Macaluso
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
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| 21-00779 | 12/23/2021 | Claimant(s): Jim Mui
Claimant Lawyers(s): Harris Freedman
Respondent(s): Prudential Equity Group, Raymond James Financial Services., Raymond, James & Associates., UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer E. Novoselsky, John Murphy, Robert M. Rudnicki
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
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| 16-02781 | 07/20/2017 | Claimant(s): Patrick Dwyer
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Steven N. Ainbinder, Barry David Thorpe, Keith Robert Santillo
Hearing Site: Miami, FL
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