| 22-01909 | 05/11/2023 | Claimant(s): Jose Chaves
Claimant Lawyers(s): Russell Del Toro Parra
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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| 22-01819 | 05/11/2023 | Claimant(s): Patrick Lowe
Claimant Lawyers(s): Robert Jay Moses
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kathleen Salvaty
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
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| 22-00341 | 05/11/2023 | Claimant(s): Hilltop Securities Inc.
Claimant Lawyers(s): Andrew P. Shelby
Respondent(s): Daniel Heidkamp, Mark Ritchie, Patrick Tierney, Colliers Securities LLC
Respondent Lawyers(s): Michael D. Lee
Arbitrator(s): Theodore W. Wrobleski, Lawrence W. Arness, Kristi Lynn Nelson
Hearing Site: Chicago, IL
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| 22-00822 | 05/11/2023 | Claimant(s): Troy Goldberg
Claimant Lawyers(s): Zachary Morse
Respondent(s): Monroe Parker Securities., National Securities Corporation, NewBridge Securities Corp., Fin-Atlantic Securities.
Respondent Lawyers(s): Alan Lipsky, Emily A. Hayes, Jerry E. Surman, Zachary Hayes-Macaluso
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
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| 22-02743 | 05/11/2023 | Claimant(s): John Azzara
Claimant Lawyers(s): Grant Lally
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Daryl Leon
Arbitrator(s): Evdokia Sofos
Hearing Site: New York, NY
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| 22-01470 | 05/10/2023 | Claimant(s): Jordan Varela
Claimant Lawyers(s): Daniel J. Donovan
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: San Diego, CA
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| 22-01450 | 05/10/2023 | Claimant(s): Stephan Stein
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Joseph Gunnar & Co. LLC
Respondent Lawyers(s): Peter Bon Viso
Arbitrator(s): Vincent C. Pangia, John Warner Lowe, James Carlone
Hearing Site: New York, NY
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| 22-01839 | 05/09/2023 | Claimant(s): Ronald Kuhn
Claimant Lawyers(s): Jessica E. Levine
Respondent(s): VSR Financial Services.
Respondent Lawyers(s): David Smitham
Arbitrator(s): Peter H. Daly, Arocles Aguilar, Bruce Swartout
Hearing Site: Honolulu, HI
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| 23-00553 | 05/09/2023 | Claimant(s): Brant Ferguson
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez Esq.
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 21-00240 | 05/08/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Keith Barnett
Respondent(s): Kimberly Barry
Respondent Lawyers(s): William R. Carlisle
Arbitrator(s): Harry G. Mason
Hearing Site: Atlanta, GA
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