| 23-01741 | 03/05/2024 | Claimant(s): Heath Goldstein
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Saad Rahmouni-Idrissi
Arbitrator(s): Mark Astarita, Julian F. Santos, Allan Marain
Hearing Site: Jersey City, NJ
| | |
| 23-02340 | 03/04/2024 | Claimant(s): Roxann Romano
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
| | |
| 23-02100 | 03/04/2024 | Claimant(s): Patrick Foley
Claimant Lawyers(s): Patrick Michael Foley
Respondent(s): First Union Capital Markets Corp.
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Leo J. Karwejna, John B. Taulane, Elizabeth Ann Morgan
Hearing Site: Philadelphia, PA
| | |
| 23-01195 | 03/04/2024 | Claimant(s): Daniel Southworth
Claimant Lawyers(s): Kathleen Patchel
Respondent(s): Summit Brokerage Service.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Gayle B. Carlson
Hearing Site: Jacksonville, FL
| | |
| 22-01974 | 03/04/2024 | Claimant(s): James Zahringer
Claimant Lawyers(s): Matthew L. Jones
Respondent(s): Raymond James & Associates.
Respondent Lawyers(s): Jordan D. Maglich
Arbitrator(s): Steven N. Ainbinder, Eugene D. Mirabello, Sidney Turner
Hearing Site: Boca Raton, FL
| | |
| 23-02212 | 03/04/2024 | Claimant(s): John McCune
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Mike West
Arbitrator(s): Susan E. Maloney
Hearing Site: Manchester, NH
| | |
| 23-00725 | 03/04/2024 | Claimant(s): Daniel Soe
Claimant Lawyers(s): Craig A. Riha
Respondent(s): First Republic Group
Respondent Lawyers(s): Edward Sampson
Arbitrator(s): Richard W. Vallario, Benjamin Steinberg, Glenn Ravenell
Hearing Site: New York, NY
| | |
| 22-02692 | 03/04/2024 | Claimant(s): David Del Toro
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
| | |
| 23-01963 | 03/01/2024 | Claimant(s): Rudolf Molnar
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard S. Zaifert, David M. Snyder, Lisa Elkin Schwartz
Hearing Site: Tampa, FL
| | |
| 23-01488 | 03/01/2024 | Claimant(s): Thomas Smith
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Edward Jones
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | |
