| 23-00944 | 11/08/2024 | Claimant(s): Miguel Hernandez
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey Medina-Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
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| 24-00285 | 11/08/2024 | Claimant(s): Karen Koenig
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Seattle, WA
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| 23-01533 | 11/07/2024 | Claimant(s): Jose Chaves
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
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| 24-01237 | 11/06/2024 | Claimant(s): Daniel Ray
Claimant Lawyers(s): Daniel Patrick Ray
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kristine R. Thomson
Arbitrator(s): David I. Levine, Philip Aaron Tymon, Laura A. Kaster
Hearing Site: Detroit, MI
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| 23-02954 | 11/06/2024 | Claimant(s): Jonathan Viscounte
Claimant Lawyers(s): William R. Bean
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Fred W. Miller
Hearing Site: Philadelphia, PA
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| 24-01133 | 11/05/2024 | Claimant(s): Alfred Bunge
Claimant Lawyers(s): Ronald J. Tomassi
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Steven R. Rolnick, Lawrence R. Mills, Neil Harvey Smith
Hearing Site: Boca Raton, FL
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| 21-02882 | 11/04/2024 | Claimant(s): Gregory Bradshaw
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Samuel P. Peluso, Gayle B. Carlson, Mitchel Weiss
Hearing Site: Jacksonville, FL
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| 24-00229 | 11/01/2024 | Claimant(s): Christopher Allen
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Jersey City, NJ
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| 23-02999 | 11/01/2024 | Claimant(s): Frederick Kort
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): James J. Stamos
Hearing Site: Chicago, IL
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| 23-02831 | 11/01/2024 | Claimant(s): Ryan Hyslop
Claimant Lawyers(s): Michael Kalmus
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeffrey P. Palmer
Arbitrator(s): Nancy Hutt, Howard A. Buchler, William W. Haskell
Hearing Site: Reno, NV
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