| 23-03400 | 05/02/2024 | Claimant(s): Douglas Evans
Claimant Lawyers(s): Douglas C. Evans
Respondent(s): Eric Chu, Michael Blackburn, Tradesk Securities.
Respondent Lawyers(s): Eric Chu, Michael R. Blackburn
Arbitrator(s): Laura Carraher
Hearing Site: New York, NY
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| 23-02274 | 05/02/2024 | Claimant(s): Robert Traitz
Claimant Lawyers(s): Brian Luther
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Sam Antar
Hearing Site: Jersey City, NJ
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| 23-02990 | 05/02/2024 | Claimant(s): Jack Riley
Claimant Lawyers(s): Randi Perry Spallina
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Alice E. Winkler
Hearing Site: Jersey City, NJ
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| 23-01890 | 05/02/2024 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Erico Galvez, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea Peraner-Sweet, Rachael L. Carp
Arbitrator(s): Robert L. Chase, David J. Kaufman, David S. Godkin
Hearing Site: Augusta, ME
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| 23-01345 | 05/01/2024 | Claimant(s): Alexander Hackley
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Martin M. Berliner, Leonard M. Goldstein, Adam Michael Porter
Hearing Site: Denver, CO
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| 23-02598 | 05/01/2024 | Claimant(s): Williams Butcher
Claimant Lawyers(s): Seth Ian Rubinson
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Myra P. Nicholson
Arbitrator(s): G. Dennis Sheehan, Dawna Kim Larson, Nick Thomas
Hearing Site: Houston, TX
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| 23-02692 | 05/01/2024 | Claimant(s): Carl Labruna
Claimant Lawyers(s): Carl John Labruna
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Louis David Huss, Mark A. Jacoby, Lauren Beth Shapiro
Hearing Site: Boca Raton, FL
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| 22-02666 | 04/30/2024 | Claimant(s): David Del Toro
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
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| 23-01743 | 04/30/2024 | Claimant(s): Francis Amsler, Marc Laborde
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Rockefeller Financial LLC
Respondent Lawyers(s): William Fenrich
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
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| 24-00216 | 04/29/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Keith J. Barnett
Respondent(s): Howard Graham
Respondent Lawyers(s): Howard Okeefe Graham
Arbitrator(s): Robert H. Putnam
Hearing Site: Jackson, MS
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