18-03175 | 03/23/2023 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): G. Thomas Fleming Respondent(s): Robert Dressler, Yuen Lin Chan Respondent Lawyers(s): G. Thomas Fleming, Neil L. Henrichsen Arbitrator(s): Daniel M. Yamshon, Clifford A. Threlkeld, Elizabeth Dye Battaglia Hearing Site: San Francisco, CA
| | |
22-02318 | 03/22/2023 | Claimant(s): Spartan Capital Securities Claimant Lawyers(s): Robert Rabinowitz Respondent(s): Tariq Sales Respondent Lawyers(s): Tariq Muhammed Sales Arbitrator(s): David Sorokoff Hearing Site: New York, NY
| | |
23-00026 | 03/22/2023 | Claimant(s): John Jacobs Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Susanne J. Hollander Hearing Site: Chicago, IL
| | |
22-01727 | 03/22/2023 | Claimant(s): Matthew Pullar Claimant Lawyers(s): Dochtor Kennedy Respondent(s): PNC Investments Respondent Lawyers(s): Robert Whitman Arbitrator(s): Tracy L. Allen Hearing Site: Cleveland, OH
| | |
22-01816 | 03/17/2023 | Claimant(s): Robert Stanlick Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Piper Jaffray & Co., Geneos Wealth Management Respondent Lawyers(s): Bridget Larsen, Victoria H. Buter Arbitrator(s): Tina Alison Davis, Douglas Lou Dombey, Fernando Lugo Hearing Site: Denver, CO
| | |
22-01555 | 03/16/2023 | Claimant(s): Jeffrey Weiner Claimant Lawyers(s): Brian Kennedy Respondent(s): MML Investors Services Respondent Lawyers(s): Julie E. Ravis Arbitrator(s): David Sorokoff, Clive I. Morrick, Andrew Robert Kosloff Hearing Site: New York, NY
| | |
22-00494 | 03/16/2023 | Claimant(s): Lee Boughner Claimant Lawyers(s): William Scott Turnbull Respondent(s): UBS Financial Services Inc., UBS Credit Corp. Respondent Lawyers(s): Robert H. Bernstein Arbitrator(s): Gerald Silverman, Michael B Goldstein, Nancy Rosenbaum Kessler Hearing Site: Boca Raton, FL
| | |
22-01665 | 03/16/2023 | Claimant(s): Henry Gallardo Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Investors Capital Corp., Securian Financial Services. Respondent Lawyers(s): David Feldstein, Lisa Stopfer Arbitrator(s): Walter Steven Schwartz Hearing Site: Albuquerque, NM
| | |
21-02364 | 03/15/2023 | Claimant(s): Craig Spry Claimant Lawyers(s): Julie H. Fosbinder Respondent(s): Truist Investment Services., Edmond Henley, BB&T Securities Respondent Lawyers(s): Alexander M. Madrid Arbitrator(s): Robert Neal Hunter, Frederick R. Benson, Erika Hunter Hearing Site: Charlotte, NC
| | |
22-02052 | 03/15/2023 | Claimant(s): William Serralles Claimant Lawyers(s): Roberto C Quinones Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina Velez Arbitrator(s): Martin A. Feigenbaum Hearing Site: San Juan, PR
| | |