| 20-00721 | 06/30/2023 | Claimant(s): Insight Securities.
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Deutsche Bank Securities., Gloria Molina, Pascal Landrove, Reynaldo Figueiredo
Respondent Lawyers(s): David G. Januszewski
Arbitrator(s): Christopher J. Klein, Richard Lewis Zack, Mark A. Jacoby
Hearing Site: Boca Raton, FL
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| 22-01682 | 06/30/2023 | Claimant(s): Stephen Caton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Maryanne M. Esser
Hearing Site: Houston, TX
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| 20-02297 | 06/30/2023 | Claimant(s): Thomas Jester
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Carl Williams, Diane Buchanan, Stephanie Elliott, Chapin Davis
Respondent Lawyers(s): Douglas W. Hyman, Michael P. Shaw
Arbitrator(s): Steven H. Vogel, Joseph A. Landa, Iris Sagrado
Hearing Site: Chicago, IL
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| 22-02037 | 06/30/2023 | Claimant(s): Jeff Han
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
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| 22-02657 | 06/29/2023 | Claimant(s): Justin Goodbread
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securian Financial Services.
Respondent Lawyers(s): Lisa Stopfer
Arbitrator(s): John Winslow Griesser
Hearing Site: Nashville, TN
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| 22-02982 | 06/28/2023 | Claimant(s): Steven Buchanan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 22-02723 | 06/28/2023 | Claimant(s): Frederick Kort
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
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| 22-02758 | 06/28/2023 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Albert Foronda
Respondent Lawyers(s): Albert Foronda
Arbitrator(s): Arthur Neil Tolciss
Hearing Site: New York, NY
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| 22-01475 | 06/27/2023 | Claimant(s): Thomas Pollock
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Laurie A. Perez
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 22-02232 | 06/27/2023 | Claimant(s): Sonia Pou Monagas
Claimant Lawyers(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
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