| 21-01429 | 12/13/2021 | Claimant(s): Carlos Pou
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
| 21-01625 | 12/13/2021 | Claimant(s): Ian James
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Jeff Kilgore
Hearing Site: New Orleans, LA
| | |
| 20-01049 | 12/10/2021 | Claimant(s): CBIZ Financial Solutions.
Claimant Lawyers(s): Jeffrey S. Dunlap
Respondent(s): Timothy Schannep
Respondent Lawyers(s): Roscoe J. Mutz
Arbitrator(s): Kenneth R. Johnston, Marc Kalish, Harold J. Merkow
Hearing Site: Phoenix, AZ
| | |
| 20-01846 | 12/10/2021 | Claimant(s): Josh Frankel
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Chase Investment Services Corp., HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein, Thomas J. Cahill
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
| | |
| 21-00835 | 12/10/2021 | Claimant(s): John Reilly
Claimant Lawyers(s): Zachary Morse
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Nancy J. Cliff
Hearing Site: Boca Raton, FL
| | |
| 21-00927 | 12/10/2021 | Claimant(s): Eric Abbott
Claimant Lawyers(s): Harris Freedman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: Tampa, FL
| | |
| 21-01116 | 12/10/2021 | Claimant(s): Andy Schwartz
Claimant Lawyers(s): John D. Stewart
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Patricia Kathleen Costello
Hearing Site: Jersey City, NJ
| | |
| 21-01386 | 12/10/2021 | Claimant(s): Victor Tomassini
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
| | |
| 20-04224 | 12/09/2021 | Claimant(s): Daniel Larsen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Howard R. Gaines
Hearing Site: Salt Lake City, UT
| | |
| 21-01115 | 12/09/2021 | Claimant(s): Laura Chao
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
| | |
