| 21-01511 | 03/08/2024 | Claimant(s): Concorde Investment Services
Claimant Lawyers(s): James S. Rollins
Respondent(s): Lori Kamen, Aurora Securities
Respondent Lawyers(s): Paul Machesky
Arbitrator(s): Jeffry M. Bauer, Ann Wilhelmina Kuppe, Suzanne L. Ulicny
Hearing Site: Detroit, MI
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| 23-01995 | 03/08/2024 | Claimant(s): Sameer Baig
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Carole Miller
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Charlotte, NC
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| 23-00969 | 03/08/2024 | Claimant(s): James Ugobono
Claimant Lawyers(s): Roberto C. Quinones
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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| 22-02917 | 03/07/2024 | Claimant(s): Michel White
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
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| 23-01204 | 03/07/2024 | Claimant(s): Laif Meidell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Associated Securities Corp.
Respondent Lawyers(s): Registered Corporate Agent
Arbitrator(s): Mary Margaret Bush
Hearing Site: Reno, NV
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| 21-02105 | 03/07/2024 | Claimant(s): Edward Dublis, RWS Financial Group
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): Nathan Farrell
Respondent Lawyers(s): Brian J. Masternak
Arbitrator(s): Barbara E. Machin, David Andrew Sonnenschein, Marcy Hahn
Hearing Site: Detroit, MI
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| 23-01199 | 03/06/2024 | Claimant(s): William Dendy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Mina Madani
Hearing Site: Houston, TX
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| 23-02419 | 03/06/2024 | Claimant(s): Ronald Martin
Claimant Lawyers(s): David B. Cosgrove
Respondent(s): OSAIC Wealth
Respondent Lawyers(s): Greg Curley
Arbitrator(s): Michael J. Meeusen
Hearing Site: St. Louis, MO
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| 23-01238 | 03/06/2024 | Claimant(s): Christopher Wilbratte
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): GWN Securities Inc., Legend Equities Corporation
Respondent Lawyers(s): Jessica E. Levine, Kathy M. Klock
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 23-01126 | 03/05/2024 | Claimant(s): David Liguori
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Catherine Stewart
Hearing Site: Pittsburgh, PA
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