| 24-01274 | 09/13/2024 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Joseph Monaco
Respondent Lawyers(s): Joseph Anthony Monaco
Arbitrator(s): Bryan Lane Berson
Hearing Site: New York, NY
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| 23-02490 | 09/13/2024 | Claimant(s): Jeffrey McDonald
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Jerrold E. Slutzky, Kenneth R. Starr, Carolyn E. Moore
Hearing Site: Tampa, FL
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| 23-02893 | 09/13/2024 | Claimant(s): Howard Hsieh
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
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| 23-03347 | 09/12/2024 | Claimant(s): Natasha Jahn
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): CUNA Brokerage Services.
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Philip Alan Johnson
Hearing Site: Seattle, WA
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| 23-00964 | 09/12/2024 | Claimant(s): Federico Lopez Juarbe
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
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| 23-02806 | 09/11/2024 | Claimant(s): Steven Prestyly
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Harvey R. Linder, Margaret Verdery Little, Dexter Thomas Laughlin
Hearing Site: Norfolk, VA
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| 23-02881 | 09/11/2024 | Claimant(s): Bruce Kimball
Claimant Lawyers(s): Bruce M. Kimball
Respondent(s): Securities America., Geneos Wealth Management
Respondent Lawyers(s): Jennifer R. Cox, Victoria H. Buter
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 23-03453 | 09/11/2024 | Claimant(s): Lou Varanese
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): George Forest Bingham
Hearing Site: Philadelphia, PA
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| 23-03033 | 09/10/2024 | Claimant(s): Matthew Buchsbaum
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Laura Carraher
Hearing Site: New York, NY
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| 24-00214 | 09/10/2024 | Claimant(s): Olawale Kajopaiye
Claimant Lawyers(s): Olawale Kajopaiye
Respondent(s): PFM Fund Distributors.
Respondent Lawyers(s): Briana Al Taqatqa
Arbitrator(s): Minnie Loo, Daniel J. Lind, William W. Haskell
Hearing Site: San Francisco, CA
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