| 22-00430 | 05/13/2024 | Claimant(s): Mark Carter
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Dennis Poulos, Eric Deems, Gerard Rocchi, Mark Madgett, NYLife Securities LLC, Vincent Spaniolo
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Robert L. Altizer, Sandra Franklin, Mark Leslie Small
Hearing Site: Detroit, MI
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| 23-02951 | 05/13/2024 | Claimant(s): Stephen Soper
Claimant Lawyers(s): Joseph P. Allgor
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Thomas M. Madden
Hearing Site: Albany, NY
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| 22-00037 | 05/10/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Joseph Seidler
Respondent Lawyers(s): Mark Thomas
Arbitrator(s): D. Peter Gleichenhaus, Meredith F. Hoffman, Enrique Colin
Hearing Site: San Francisco, CA
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| 23-00686 | 05/09/2024 | Claimant(s): Mark Sullivan, Richard Dellarusso
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Albert Rizzo
Hearing Site: New York, NY
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| 23-02952 | 05/09/2024 | Claimant(s): David Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 23-01477 | 05/09/2024 | Claimant(s): Joseph Swanson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
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| 22-01965 | 05/09/2024 | Claimant(s): Christopher Heilman, Ronald Kiser
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): Truist Investment Services.
Respondent Lawyers(s): Andrew J. Shapren
Arbitrator(s): Marian Smith Glenn, Catherine Esther Bocskor, Douglas Ken Rudley
Hearing Site: Norfolk, VA
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| 23-02464 | 05/09/2024 | Claimant(s): Christian Blees
Claimant Lawyers(s): Christian W. Blees
Respondent(s): David Wolfe
Respondent Lawyers(s): David Sanford Wolfe
Arbitrator(s): Ilene T. Gormly, Eileen Joan Carpenter, William E Murray
Hearing Site: Denver, CO
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| 23-01470 | 05/09/2024 | Claimant(s): Roshan Loungani
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Arete Wealth Management
Respondent Lawyers(s): Bob Chung
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
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| 23-01584 | 05/09/2024 | Claimant(s): Ping Shuang Wu
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
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