| 23-00121 | 09/01/2023 | Claimant(s): James Small
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Royetta M. Jones, Walter Steven Schwartz, Nancy Lynn Boyd
Hearing Site: Las Vegas, NV
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| 22-02757 | 09/01/2023 | Claimant(s): Kristi Trowbridge, Steve Trowbridge
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Robert Abrams
Arbitrator(s): Earle J. Schwarz
Hearing Site: Birmingham, AL
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| 23-01102 | 09/01/2023 | Claimant(s): Brian Donaldson, Frank Baldwin
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
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| 22-02848 | 09/01/2023 | Claimant(s): William Young
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Grove Point Investments, United Brokerage Services
Respondent Lawyers(s): Matt Winterhalter, Michael Earl
Arbitrator(s): Kurt Matthew Schwartz, Michael James Malone, Clinton Barkdoll
Hearing Site: Washington, DC
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| 23-01264 | 08/31/2023 | Claimant(s): William Cerf
Claimant Lawyers(s): Zachary M. Schmitz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
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| 22-02536 | 08/31/2023 | Claimant(s): Ralph Adamo
Claimant Lawyers(s): Harris Freedman
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
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| 21-02855 | 08/30/2023 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Jeffrey McHale
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s):
Hearing Site: Boston, MA
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| 22-00408 | 08/29/2023 | Claimant(s): Rafael Friederichsen
Claimant Lawyers(s): S. Bruce Hiran
Respondent(s): BBVA Securities Inc.
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Daniel J. Pagnano, Brian James Tagtmeier, Katherine Parsley
Hearing Site: Houston, TX
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| 23-00194 | 08/25/2023 | Claimant(s): Shelby Rothman
Claimant Lawyers(s): Harris Freedman
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
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| 22-02309 | 08/25/2023 | Claimant(s): Harry Orth, Kimberlee Orth
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Louis P. Wagman
Hearing Site: Wilmington, DE
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