20-03392 | 02/21/2023 | Claimant(s): NexTrend Securities. Claimant Lawyers(s): Leland C. de la Garza Respondent(s): Mark Cherlin, Scott Offerman, Sonya Gotz Respondent Lawyers(s): David J. Abell, Leland C. de la Garza Arbitrator(s): Bill Lamoreaux, Karen Roberts Washington, Tricia R DeLeon Hearing Site: Dallas, TX
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22-00678 | 02/21/2023 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Scott A. LaPorta Respondent(s): Kenneth Schaefer Respondent Lawyers(s): Kenneth Gerard Schaefer Arbitrator(s): Peter Svorinic, John James McGovern, Jud Perkins Hearing Site: Providence, RI
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22-02279 | 02/17/2023 | Claimant(s): David Rojas 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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22-00176 | 02/17/2023 | Claimant(s): Douglas Kobak Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Citigroup Global Markets., Coastal Equities. Respondent Lawyers(s): Adam Kauff, Francis J. Skinner Arbitrator(s): Fred W. Miller, Buzz Adelman, Kathleen Jones Spilker Hearing Site: Philadelphia, PA
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22-01078 | 02/17/2023 | Claimant(s): Jason Burkett Claimant Lawyers(s): Zachary Morse Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Frederick Ramos Hearing Site: Cheyenne, WY
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22-01476 | 02/17/2023 | Claimant(s): Matthew Rose Claimant Lawyers(s): Kyle Johnson Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Brendan T. Killeen Arbitrator(s): Robert H. Putnam Hearing Site: Nashville, TN
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21-01354 | 02/16/2023 | Claimant(s): Sean Caston Claimant Lawyers(s): Tosh Grebenik Respondent(s): American Trust Investment Services. Respondent Lawyers(s): Andrew S. May Arbitrator(s): Roberta Haft, Ronald L. Cameron, Robert Rosen Hearing Site: Los Angeles, CA
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22-01649 | 02/16/2023 | Claimant(s): Sagepoint Financial. Claimant Lawyers(s): James V. Noblett Respondent(s): Frank Weiss Respondent Lawyers(s): Frank Corey Weiss Arbitrator(s): Michael J. Meeusen Hearing Site: Syracuse, NY
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22-00844 | 02/15/2023 | Claimant(s): Philip Wohl Claimant Lawyers(s): Phil Wohl Respondent(s): Ron Lissak, Catapult Advisors LLC Respondent Lawyers(s): Ron Matthew Lissak Arbitrator(s): Kevin C. Coleman, Wrally John Dutkiewicz, Jonathan Polland Hearing Site: San Francisco, CA
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22-00712 | 02/15/2023 | Claimant(s): Stephen Peiffer Claimant Lawyers(s): Jon-Jorge Aras Respondent(s): Voya Financial Advisors. Respondent Lawyers(s): Denis Dice Arbitrator(s): Jim Geiger, Lisette Lazinger Tarragano, George Aleman Hearing Site: Philadelphia, PA
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