| 23-02898 | 08/28/2024 | Claimant(s): Roberto de Jesus Pou
Claimant Lawyers(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Linette Figueroa-Torres
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
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| 23-01164 | 08/28/2024 | Claimant(s): First Republic Investment Management, First Republic Securities Company
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Steven Levine
Respondent Lawyers(s): Michael S. Taaffe
Arbitrator(s): Ronald Howard Filler, Robert Lawrence Ostrov, Mark H Schiff
Hearing Site: Boca Raton, FL
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| 23-03290 | 08/28/2024 | Claimant(s): Eleanor Maguire
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Mclaughlin Ryder Investments.
Respondent Lawyers(s): Janet DeCosta
Arbitrator(s): Tina E. Patterson
Hearing Site: Washington, DC
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| 24-01066 | 08/28/2024 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Andrew DeLucia
Respondent(s): Michael Magruder
Respondent Lawyers(s): Michael Edwin Magruder
Arbitrator(s): Robert H. Putnam
Hearing Site: Birmingham, AL
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| 23-01795 | 08/28/2024 | Claimant(s): Michael Kuczinski
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): OSAIC Wealth, Investors Capital Corp.
Respondent Lawyers(s): David Feldstein, Jennifer R. Cox
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
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| 23-01024 | 08/26/2024 | Claimant(s): Samuel Wyman
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Gilford Securities.
Respondent Lawyers(s): Bonnie Sachs
Arbitrator(s): Paul C. Kurland, Adam J. Ciffone, Melnia Annero Cordis
Hearing Site: New York, NY
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| 24-00309 | 08/26/2024 | Claimant(s): Jameson Van Houten
Claimant Lawyers(s): Benjamin Biard
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Jonathan French
Arbitrator(s): Monica I. Salis, Gregory D. Hoffmann, John R. Wylie
Hearing Site: Phoenix, AZ
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| 23-02882 | 08/26/2024 | Claimant(s): Dan Wagner
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Arkadios Capital
Respondent Lawyers(s): Gary Schwartz
Arbitrator(s): Harvey R. Linder
Hearing Site: Columbia, SC
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| 23-02544 | 08/26/2024 | Claimant(s): Andre Selfa
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Michael D. Weiner, Mark Lee Haggard, Ian Matthew Green
Hearing Site: Portland, OR
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| 23-01602 | 08/26/2024 | Claimant(s): Allan Haupert
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Mark W Solock
Hearing Site: Milwaukee, WI
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