| 19-00105 | 05/01/2023 | Claimant(s): Raymond Jallow
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Carter Taylor, Charles Schwab & Co..
Respondent Lawyers(s): Gordon . C Young
Arbitrator(s): Sandra L. Malek, Camille Brown, Alina Landver
Hearing Site: Los Angeles, CA
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| 22-00654 | 04/28/2023 | Claimant(s): Troy Stine
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): A. G. Edwards & Sons., Cetera Advisor Networks LLC
Respondent Lawyers(s): David Feldstein, Deirdre Wolff
Arbitrator(s): Maryanne M. Esser, Irving Sylvester Moses, Stuart Diamond
Hearing Site: Houston, TX
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| 22-01910 | 04/28/2023 | Claimant(s): Justin Plante
Claimant Lawyers(s): Zachary Morse
Respondent(s): AIG Capital Services.
Respondent Lawyers(s): Michael S. Cargnel
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
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| 22-01452 | 04/27/2023 | Claimant(s): Joseph Alagna
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Joseph Gunnar & Co. LLC
Respondent Lawyers(s): Peter Bon Viso
Arbitrator(s): Lynne M. Reid-McQueen, Leslie Ruth Nydick, Brian John Gallagher
Hearing Site: New York, NY
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| 22-01878 | 04/26/2023 | Claimant(s): John Jenkins
Claimant Lawyers(s): Samantha Pastor
Respondent(s): SunAmerica Securities., QA3 Financial Corp.
Respondent Lawyers(s): Jennifer R. Cox, Thomas Zielinski
Arbitrator(s): Erik R. Siering
Hearing Site: San Diego, CA
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| 22-01660 | 04/24/2023 | Claimant(s): Matthew Engen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Mark L Miller
Hearing Site: Bismarck, ND
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| 22-02445 | 04/21/2023 | Claimant(s): Frank Carrasco
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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| 22-02582 | 04/21/2023 | Claimant(s): James Ugobono
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 22-01792 | 04/20/2023 | Claimant(s): Pat Patterson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
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| 22-01232 | 04/20/2023 | Claimant(s): Diogo Cavalcanti
Claimant Lawyers(s): Zachary Morse
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Gloria O. North
Hearing Site: Boca Raton, FL
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