| 22-02941 | 07/11/2023 | Claimant(s): William Mitchell
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Robert David Epstein
Hearing Site: Cincinnati, OH
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| 22-02599 | 07/11/2023 | Claimant(s): Miguel Hernandez
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 22-02478 | 07/11/2023 | Claimant(s): Michael Vetere
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Ameritas Investment Corp.
Respondent Lawyers(s): Andrea D. Snowden
Arbitrator(s): Veronica Ann Williams
Hearing Site: Jersey City, NJ
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| 22-02369 | 07/10/2023 | Claimant(s): Christopher Hagen
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
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| 22-02755 | 07/10/2023 | Claimant(s): Thomas Casolaro
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): G. Robert Abrams
Arbitrator(s): Robert G. Falbisaner
Hearing Site: Boca Raton, FL
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| 22-02898 | 07/07/2023 | Claimant(s): Kinzey Lynch
Claimant Lawyers(s): Scott M. Pollins
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Elizabeth Ann Morgan
Hearing Site: Philadelphia, PA
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| 18-02978 | 07/07/2023 | Claimant(s): Liet Han
Claimant Lawyers(s): Blaine H. Bortnick
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael J. Charlillo
Arbitrator(s): Linda J. Baer, Sean F. Monahan, Mitchell Regenbogen
Hearing Site: New York, NY
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| 22-02235 | 07/07/2023 | Claimant(s): Andrew Kuo, Bradley Kaiser
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Western International Securities.
Respondent Lawyers(s): Donald Bizub
Arbitrator(s): Mary M. O'Neil, Kirtley M. Thiesmeyer, Sidney Kinji Kanazawa
Hearing Site: Los Angeles, CA
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| 22-00324 | 07/06/2023 | Claimant(s): Amir Golzar
Claimant Lawyers(s): Zachary Morse
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Sandra L. Malek
Hearing Site: Los Angeles, CA
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| 22-02034 | 07/06/2023 | Claimant(s): Anita Brennan, Marina Tudela
Claimant Lawyers(s): Leslie Flores
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
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