| 22-02079 | 05/05/2023 | Claimant(s): Roberto Rivera Vazquez
Claimant Lawyers(s): Gara M. Seagraves
Respondent(s): Popular Securities.
Respondent Lawyers(s): Mariela M. Ramierz-Morales
Arbitrator(s): Robert G. Falbisaner
Hearing Site: San Juan, PR
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| 22-00020 | 05/05/2023 | Claimant(s): Bryan Sullivan
Claimant Lawyers(s): Ruth I. Major
Respondent(s): Wells Fargo Clearing Services, Robert Wellford
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
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| 22-02039 | 05/05/2023 | Claimant(s): Steven Lewine
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Veronica Ann Williams
Hearing Site: New York, NY
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| 22-02352 | 05/05/2023 | Claimant(s): Jonathan Beitler
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Raymond James Financial Services., FSC Securities Corporation
Respondent Lawyers(s): James Noblett, Laura Ruiz Rivera
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 22-01046 | 05/04/2023 | Claimant(s): Ronan Cox
Claimant Lawyers(s): Seth N. Bursky
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy Winer
Arbitrator(s): Julian F. Santos, Veera V. Konka, Thomas Hansen Boast
Hearing Site: New York, NY
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| 22-01675 | 05/04/2023 | Claimant(s): Willard Pugh
Claimant Lawyers(s): Samantha Pastor
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
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| 22-00803 | 05/04/2023 | Claimant(s): Norman D'Silva
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): PFS Investments Inc.
Respondent Lawyers(s): Marva Graham
Arbitrator(s): John James McGovern
Hearing Site: Manchester, NH
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| 21-03115 | 05/04/2023 | Claimant(s): Jerry Willoughby, John Disosway, Sylvia Majani, Victor Hooper, John Disosway & Sylvia Majani, Vickie L. Earle Trust, Victor J. Hooper Irrevocable Trust FBO
Claimant Lawyers(s): John S. Chapman
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Gayle B. Carlson, Anthony Richard Sanchez, Edgar Vazquez-Cruz
Hearing Site: Orlando, FL
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| 22-01047 | 05/03/2023 | Claimant(s): Michael Lastihenos
Claimant Lawyers(s): Seth N. Bursky
Respondent(s): Ladenburg Capital Management Inc.
Respondent Lawyers(s): Richard J. Rosenstock
Arbitrator(s): Peter A. Goldman, Howard L. Sobel, Anthony J Casino
Hearing Site: New York, NY
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| 22-02050 | 05/03/2023 | Claimant(s): Shawn Burke
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Michael L. Fortney, Stephen M. Bales, David Arnold
Hearing Site: Cleveland, OH
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