| 23-01590 | 02/22/2024 | Claimant(s): D.A. Davidson & Co.
Claimant Lawyers(s): Nancy L. Hendrickson
Respondent(s): Jason Barella
Respondent Lawyers(s): Jason Barella
Arbitrator(s): Gail Sillman
Hearing Site: Boston, MA
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| 23-02119 | 02/22/2024 | Claimant(s): NewBridge Securities Corp.
Claimant Lawyers(s): Gregg J. Breitbart
Respondent(s): Gerald Cocuzzo
Respondent Lawyers(s): Gerald John Cocuzzo
Arbitrator(s): Robert G. Geeseman, Glenn Jerrold Waldman, Lori Lovgren
Hearing Site: Boca Raton, FL
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| 23-01072 | 02/21/2024 | Claimant(s): Keith Medeck
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Millennium Securities Corp.
Respondent Lawyers(s): Consuelo Moretto
Arbitrator(s): Jay F. Frascella, Gerald M. Levine, Melinda George-Bristol
Hearing Site: New York, NY
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| 23-01956 | 02/21/2024 | Claimant(s): Michael Escobar
Claimant Lawyers(s): James P. Galvin
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 23-02936 | 02/21/2024 | Claimant(s): Candida Bobonis Roig, Lizzette Bobonis Roig
Claimant Lawyers(s): David I. Hantman
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Sara L. Velez Santiago
Arbitrator(s): John Francis Markuns
Hearing Site: Boston, MA
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| 23-01383 | 02/20/2024 | Claimant(s): Andrew Leicht
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Catherine Stewart
Hearing Site: Jersey City, NJ
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| 19-00555 | 02/20/2024 | Claimant(s): Janice Kevari
Claimant Lawyers(s): Maryann P Gallagher
Respondent(s): Scottrade Inc., TD Ameritrade.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Janice L. Sperow, Kevin K. Forrester, Lisa Miller
Hearing Site: San Diego, CA
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| 23-00364 | 02/20/2024 | Claimant(s): Carlos Pou
Claimant Lawyers(s): Leslie Flores
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
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| 23-00519 | 02/16/2024 | Claimant(s): Ricardo Eboli-Kodesh
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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| 23-01447 | 02/16/2024 | Claimant(s): Heath Harris
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Thomas J. Dolina
Hearing Site: Baltimore, MD
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