| 23-02931 | 05/23/2024 | Claimant(s): James Ciocia
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Richard S. Zaifert, Jerome Blevins, Brian E. Spletzer
Hearing Site: Tampa, FL
| | |
| 23-02819 | 05/23/2024 | Claimant(s): David Hanvey
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Carolyn E. Moore
Hearing Site: Tampa, FL
| | |
| 23-00700 | 05/22/2024 | Claimant(s): John Kasel
Claimant Lawyers(s): Christopher F. Robertson
Respondent(s): KMS Financial Services., U.S. Bancorp Investments.
Respondent Lawyers(s): Briana Al Taqatqa, Records Custodian
Arbitrator(s): Katherine Hendricks, David William Hickman, Linda Dai-Fong Koa
Hearing Site: Seattle, WA
| | |
| 23-02240 | 05/22/2024 | Claimant(s): Gerard Kelly III
Claimant Lawyers(s): Craig Stein
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Steven M. Greenbaum, Layne Verebay, Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 23-00965 | 05/22/2024 | Claimant(s): Enrique Torruella
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Nancy J. Cliff
Hearing Site: San Juan, PR
| | |
| 23-02799 | 05/22/2024 | Claimant(s): Marilyn Zehntner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Rhodes Securities.
Respondent Lawyers(s): Gordon Rhodes
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
| | |
| 23-02800 | 05/22/2024 | Claimant(s): Jonathan Marshall
Claimant Lawyers(s): Jonathan Edward Marshall
Respondent(s): Lincoln Financial Securities Corporation
Respondent Lawyers(s): Benjamin Edwards
Arbitrator(s): Carole Crosby, Donald N. Malawsky, John G. Sciandra
Hearing Site: Tampa, FL
| | |
| 24-00453 | 05/22/2024 | Claimant(s): Nathan Oeming
Claimant Lawyers(s): Nathan Oeming
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter Wheeler
Arbitrator(s): Peter Khalil
Hearing Site: Portland, OR
| | |
| 23-02543 | 05/21/2024 | Claimant(s): Jay Sheth
Claimant Lawyers(s): Craig Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Madelon M. Rosenfeld, John Nino Brenkovich, Frances Gottfried
Hearing Site: New York, NY
| | |
| 23-02742 | 05/21/2024 | Claimant(s): Richard Grodin
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | |
