| 23-02899 | 06/24/2024 | Claimant(s): Kevin Dziubela
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Debra A. Jenks, Alessandra Piras Torrens
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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| 23-02335 | 06/21/2024 | Claimant(s): James Springer
Claimant Lawyers(s): Craig Stein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Paul J. Burkhart, Stew Cohen, Jason Zachary Jones
Hearing Site: Boca Raton, FL
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| 23-02267 | 06/17/2024 | Claimant(s): Henry Krich
Claimant Lawyers(s): Craig Stein
Respondent(s): J.P. Morgan Securities LLC
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Joseph Benalt, Nanci Sondra Landy, George H Tucker
Hearing Site: Boca Raton, FL
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| 22-02183 | 06/17/2024 | Claimant(s): Brad Rude, Eric Diton, Jon Price, Kevin Lydon, Kevin Murphy, Lon Hatton, Peter Sullivan
Claimant Lawyers(s): Jonathan A. Korte
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Meaghan VerGow
Arbitrator(s): Will Murphy, Lori Lovgren, Stephen Robert Tiernay
Hearing Site: Boca Raton, FL
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| 22-02590 | 06/11/2024 | Claimant(s): Manuel Melendez
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Stuart K. Furman
Hearing Site: Boca Raton, FL
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| 23-02118 | 05/28/2024 | Claimant(s): NewBridge Securities Corp.
Claimant Lawyers(s): Gregg J Breitbart
Respondent(s): Gaetano Magarelli
Respondent Lawyers(s): Gaetano Magarelli
Arbitrator(s): John B. Sochacki
Hearing Site: Boca Raton, FL
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| 23-02240 | 05/22/2024 | Claimant(s): Gerard Kelly III
Claimant Lawyers(s): Craig Stein
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Steven M. Greenbaum, Layne Verebay, Edward R. Niederriter
Hearing Site: Boca Raton, FL
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| 23-02742 | 05/21/2024 | Claimant(s): Richard Grodin
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
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| 20-00336 | 05/17/2024 | Claimant(s): Eduardo Augsten, as S.H. Wealthengage, Wealthengage.
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): Gustavo Vega
Respondent Lawyers(s): Javier J. Rodriguez
Arbitrator(s): Paul J. Burkhart, Marie Katz, Franchesca Caminero
Hearing Site: Boca Raton, FL
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