| 23-00939 | 10/04/2024 | Claimant(s): Sumaya Musa
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey Medina
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
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| 24-00773 | 10/02/2024 | Claimant(s): Christopher Gordon
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Lincoln Financial Securities Corporation
Respondent Lawyers(s): Richard E. Ramirez
Arbitrator(s): Peter Ordower, Benjamin F. Breslauer, Neil Harvey Smith
Hearing Site: Baltimore, MD
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| 23-02656 | 10/02/2024 | Claimant(s): Rodger Thomas
Claimant Lawyers(s): Avi Rosenfeld
Respondent(s): NewBridge Securities Corp., National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes, Rick Slavik
Arbitrator(s): Edith M. Novack, Richard Steven Pollack, Kevin K Walsh
Hearing Site: Jersey City, NJ
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| 23-01988 | 10/01/2024 | Claimant(s): Travis Alexander, Crux Wealth Advisors
Claimant Lawyers(s): Mark S. Fusco
Respondent(s): Beau Riggs, Steven Blanchard
Respondent Lawyers(s): Mark S. Fusco, Steven Blanchard
Arbitrator(s): Christopher C. Willett, Michael A. Orticelle, Paul K. Stecker
Hearing Site: Buffalo, NY
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| 23-00924 | 10/01/2024 | Claimant(s): Nelson Rodriguez Fernandez
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey Medina
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 23-02966 | 10/01/2024 | Claimant(s): Steven Perrmann
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Madison Avenue Securities, National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels, Ryan P. Friel
Arbitrator(s): Tracy L. Allen
Hearing Site: St. Louis, MO
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| 24-01436 | 09/30/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Sara Soto
Respondent(s): Kevin Newmuis
Respondent Lawyers(s): Kevin Darnell Newmuis
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
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| 23-00534 | 09/30/2024 | Claimant(s): Robert Thomas
Claimant Lawyers(s): Michael Bessette
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Gregg J. Brietbart
Arbitrator(s): Frederick W. Keuthen, Robert L. Chase, John James McGovern
Hearing Site: Augusta, ME
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| 23-02973 | 09/30/2024 | Claimant(s): Joshua Alloway
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Joseph Two
Arbitrator(s): Christopher M. McMurray
Hearing Site: Richmond, VA
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| 23-02851 | 09/30/2024 | Claimant(s): Ryan Malloch
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
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