| 23-01852 | 12/21/2023 | Claimant(s): Dario Ochoa
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
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| 23-01104 | 12/19/2023 | Claimant(s): Mark Matthes
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Paul Weinberg, William Kent Brown, Tiffany Ann Taylor
Hearing Site: Boca Raton, FL
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| 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
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| 23-01372 | 12/14/2023 | Claimant(s): Sean Sill
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Robert G. Falbisaner
Hearing Site: Boca Raton, FL
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| 23-01895 | 12/11/2023 | Claimant(s): Mohamed Azeez
Claimant Lawyers(s): Mohamed Azeez
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Charlton Young
Arbitrator(s): Joanne Colbert Stanley
Hearing Site: Boca Raton, FL
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| 23-01063 | 11/29/2023 | Claimant(s): Jeffrey Zapoleon
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Theodore R. Bynum
Arbitrator(s): Steven R. Reininger, Louis David Huss, Michael Mazor
Hearing Site: Boca Raton, FL
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| 23-01347 | 11/24/2023 | Claimant(s): Steven Hein
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Richard W. Epstein, Scott A. Eichhorn, Ellen Jane Vaughan
Hearing Site: Boca Raton, FL
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| 23-01763 | 11/21/2023 | Claimant(s): Mark Hopper
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Gerald Silverman
Hearing Site: Boca Raton, FL
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| 22-01423 | 11/16/2023 | Claimant(s): Tradespot Markets Inc.
Claimant Lawyers(s): Daniel DeSouza
Respondent(s): ICARO Media Group Inc.
Respondent Lawyers(s): Kennan E. Kaeder
Arbitrator(s): Daniel H. Yaffe, Harvey David Cohen, Marc Ira Sinensky
Hearing Site: Boca Raton, FL
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| 23-01131 | 11/13/2023 | Claimant(s): Charles McAfee
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Howard N. Kahn, Will Murphy, Justin Wallace Askins
Hearing Site: Boca Raton, FL
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