| 23-02839 | 05/21/2024 | Claimant(s): Shaun Stein
Claimant Lawyers(s): Brian Luther
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Jersey City, NJ
| | |
| 23-01589 | 05/21/2024 | Claimant(s): Alberto Velasco
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | |
| 23-02559 | 05/21/2024 | Claimant(s): Thomas Rapp
Claimant Lawyers(s): Brian Luther
Respondent(s): 1717 Capital Management Company
Respondent Lawyers(s): Daniela Paez
Arbitrator(s): Serge Krimnus
Hearing Site: Jersey City, NJ
| | |
| 23-01532 | 05/21/2024 | Claimant(s): Angel Canabal
Claimant Lawyers(s): Russell Del Toro Parra
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
| | |
| 23-02775 | 05/21/2024 | Claimant(s): James Shuttleworth
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Shannon M. Wheaton
Arbitrator(s): David Adams Reif
Hearing Site: Hartford, CT
| | |
| 23-02761 | 05/21/2024 | Claimant(s): Joseph Diorio
Claimant Lawyers(s): Stephan Louviere
Respondent(s): J.J.B. Hilliard, W.L. Lyons, Banc of America Investment Services Inc.
Respondent Lawyers(s): Katelyn H. Wilson, Todd A. Holleman
Arbitrator(s): George Forest Bingham
Hearing Site: Philadelphia, PA
| | |
| 22-02146 | 05/20/2024 | Claimant(s): The Estate of Adam K. Miller
Claimant Lawyers(s): Kevin Conway
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Edward Baer, William E. Nuckel, Kenneth Paul Williams
Hearing Site: New York, NY
| | |
| 23-02807 | 05/20/2024 | Claimant(s): Nicholas Efthemis
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Dissen
Hearing Site: Buffalo, NY
| | |
| 23-01304 | 05/20/2024 | Claimant(s): Frank Snyder
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Tracy L. Allen
Hearing Site: St. Louis, MO
| | |
| 22-00508 | 05/20/2024 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Trace Schmeltz
Respondent(s): Apex Clearing Corporation, Webull Financial LLC
Respondent Lawyers(s): Jonathan D. Neerman, Ryan K. Bakhtiari
Arbitrator(s): Mark Aaron Jones, Mary Mackey, Page R Barnes
Hearing Site: San Francisco, CA
| | |
