| 23-03029 | 07/11/2024 | Claimant(s): Anthony Lapadula, Cesar Ramos, Eric Newman, George Kott, Joseph Giordano, Kevin Meade, Michael Pata, Robert Eide, Steven Dubinsky
Claimant Lawyers(s): Eric Newman, Thomas P. McEvoy
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Ira A. Auerbach
Hearing Site: New York, NY
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| 23-02840 | 07/11/2024 | Claimant(s): Robert Wheeler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Raleigh, NC
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| 13-03275 | 07/10/2024 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): James Dryden
Respondent Lawyers(s): Deborah A. Klar
Arbitrator(s): Robert D. Sussin, Kirtley M. Thiesmeyer, Frank Centofanti
Hearing Site: Los Angeles, CA
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| 23-02727 | 07/10/2024 | Claimant(s): Aaron Clark
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Cherie S. Lewis
Hearing Site: Los Angeles, CA
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| 23-00951 | 07/10/2024 | Claimant(s): Vicente Castillo
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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| 23-03035 | 07/09/2024 | Claimant(s): Curt Caserta, Lee Duckworth, Peter Alofsin
Claimant Lawyers(s): Eric A. Bensky
Respondent(s): Triad Advisors LLC, Kestra Investment Services
Respondent Lawyers(s): Jennifer R. Cox, Lydia R. Zaidman
Arbitrator(s): Maya Steinitz
Hearing Site: Providence, RI
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| 22-02752 | 07/08/2024 | Claimant(s): Daniel Cornell
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): David S. Billet, David John Reilly, Donald Francese
Hearing Site: New York, NY
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| 17-02682 | 07/08/2024 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Michael Paesano
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Aubrey Lees, Howard Alan Grinsberg, Julia Kunina-Malladi
Hearing Site: New York, NY
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| 23-02310 | 07/08/2024 | Claimant(s): Michael Mcgregor
Claimant Lawyers(s): Harris Freedman
Respondent(s): Harrison Douglas.
Respondent Lawyers(s): Doouglas W. Schriner
Arbitrator(s): Adam Michael Porter
Hearing Site: Denver, CO
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| 23-02957 | 07/08/2024 | Claimant(s): Brian Bernhardt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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