| 23-03042 | 03/01/2024 | Claimant(s): Michael Dawson
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): G. Maynard Green
Hearing Site: Houston, TX
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| 23-01882 | 03/01/2024 | Claimant(s): Cory Grandel
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): John James McGovern
Hearing Site: Pittsburgh, PA
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| 23-03026 | 02/29/2024 | Claimant(s): Adam Epstein
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J Gworek
Arbitrator(s): Susan Manca
Hearing Site: New York, NY
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| 23-01308 | 02/29/2024 | Claimant(s): Curtis Harris
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research., MML Investors Services
Respondent Lawyers(s): Jeanette E. Dennis, Julie E. Ravis
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
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| 23-00476 | 02/29/2024 | Claimant(s): Sonia Pou Monagas
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey Medina
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
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| 23-02777 | 02/29/2024 | Claimant(s): Daryl Allen
Claimant Lawyers(s): Randi Perry Spallina
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): G. Maynard Green
Hearing Site: Houston, TX
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| 23-01353 | 02/28/2024 | Claimant(s): David Zane
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): PNC Investments
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Wilmington, DE
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| 23-01420 | 02/27/2024 | Claimant(s): Matthew Langhorst, Rebecca Hallman
Claimant Lawyers(s): Bryon Romine
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Richard C. Corse, Thomas W. Allen, Don G Miller
Hearing Site: Dallas, TX
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| 22-01854 | 02/27/2024 | Claimant(s): Crews & Associates.
Claimant Lawyers(s): Daniel H. Wirth
Respondent(s): Billy Carty, Rush Harding, Carty & Company.
Respondent Lawyers(s): Chris Lazarini, Peter Shults
Arbitrator(s): Judith A. Payuk, Michael S. Yauch, Joseph Neal Richardson
Hearing Site: Little Rock, AR
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| 23-00231 | 02/27/2024 | Claimant(s): Sonia Pou Monagas
Claimant Lawyers(s): Roberto C. Quinones-Rivera
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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