| 23-00729 | 09/24/2024 | Claimant(s): Christopher Scalese
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Summit Brokerage Service., Kestra Investment Services, Midsouth Capital.
Respondent Lawyers(s): David Feldstein, Lydia R. Zaidman, Ronald J. Bateh
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
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| 23-01863 | 09/24/2024 | Claimant(s): Johanna Trujillo
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Douglas F. Stone, Daniel Robbins, Steven Landis
Hearing Site: New York, NY
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| 24-00878 | 09/24/2024 | Claimant(s): Monica Villarreal
Claimant Lawyers(s): Monica Daniela Villarreal
Respondent(s): BBVA Securities Inc.
Respondent Lawyers(s): Katie Kimbrell
Arbitrator(s): Mitchell Lee Lathrop, Jason E. Murtagh, Cynthia Helene Cwik
Hearing Site: San Diego, CA
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| 23-02945 | 09/23/2024 | Claimant(s): William Lapiana
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Robert Abrams
Arbitrator(s): Bryan Lane Berson, Andrew Ireland, Sandra Wilson
Hearing Site: New York, NY
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| 23-02774 | 09/23/2024 | Claimant(s): Andrew Tressler
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): GunnAllen Financial, Continental Broker-Dealer Corp., Trident Partners Ltd.
Respondent Lawyers(s): Deborah Anne Williams, Michael Clements, Nicholas Scavone
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
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| 23-03001 | 09/20/2024 | Claimant(s): Rey Medina-Velez
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Russell Del Toro Parra, III
Arbitrator(s): Nancy J. Cliff
Hearing Site: San Juan, PR
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| 23-02984 | 09/20/2024 | Claimant(s): Brian Horn
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Richard E. Ramirez
Arbitrator(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
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| 24-01346 | 09/20/2024 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Michael E. Rowe
Respondent(s): Joseph Tiderencel
Respondent Lawyers(s): Joseph Michael Tiderencel
Arbitrator(s): Jim Geiger
Hearing Site: Syracuse, NY
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| 23-01314 | 09/19/2024 | Claimant(s): Vincent Ambroselli
Claimant Lawyers(s): Austin Davis
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn Dietrich Perreault
Arbitrator(s): Anna M. Fanelli
Hearing Site: New York, NY
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| 23-01624 | 09/19/2024 | Claimant(s): Ramesh Madhusudan
Claimant Lawyers(s): Randi Perry Spallina
Respondent(s): Raymond James Financial Services., Vfinance Investments
Respondent Lawyers(s): Laura Ruiz Rivera, William Groeneveld
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
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