| 23-00919 | 06/21/2024 | Claimant(s): Maria Torruella
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 24-00675 | 06/21/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jason D. Evans
Respondent(s): Helen Grace Caldwell
Respondent Lawyers(s): Helen Grace Caldwell
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
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| 23-02873 | 06/21/2024 | Claimant(s): Louis Wargo
Claimant Lawyers(s): Jack D. Butler
Respondent(s): Equitable Advisors, FSC Securities Corporation
Respondent Lawyers(s): Jennifer R. Cox, Kevin W. Brooks
Arbitrator(s): Tracy L. Allen, David Arnold, Michael Alan Ellis
Hearing Site: Cleveland, OH
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| 23-02335 | 06/21/2024 | Claimant(s): James Springer
Claimant Lawyers(s): Craig Stein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Paul J. Burkhart, Stew Cohen, Jason Zachary Jones
Hearing Site: Boca Raton, FL
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| 23-02848 | 06/20/2024 | Claimant(s): Pasquale Pisani
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Jeffrey Alan Helewitz
Hearing Site: Jersey City, NJ
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| 23-02765 | 06/20/2024 | Claimant(s): Jose Chaves
Claimant Lawyers(s): Russell Del Toro Parra
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
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| 23-00972 | 06/20/2024 | Claimant(s): Victor Tomassini
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
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| 23-02192 | 06/20/2024 | Claimant(s): Apex Clearing Corporation
Claimant Lawyers(s): Jonathan D. Neerman
Respondent(s): Elevated Principles Inc. d/b/a Flyte
Respondent Lawyers(s): David Williams Hannes
Arbitrator(s): Mary Elizabeth Skelnik, Dianne Connally Betts, Will Pryor
Hearing Site: Dallas, TX
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| 23-02366 | 06/18/2024 | Claimant(s): Jason Zoch
Claimant Lawyers(s): Angela A. Turiano
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Tracy L. Allen, Susan L. Walker, Kevin P. Feerick
Hearing Site: Indianapolis, IN
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| 23-02781 | 06/18/2024 | Claimant(s): Gary Nuccio, Matthew Nuccio
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): A. Rene Hollyer
Hearing Site: New York, NY
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