| 23-01225 | 01/25/2024 | Claimant(s): Todd Gomes
Claimant Lawyers(s): Kathleen Patchel
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 23-02059 | 01/25/2024 | Claimant(s): Edward Anselmin
Claimant Lawyers(s): Edward F. Anselmin
Respondent(s): Quest Capital Strategies.
Respondent Lawyers(s): Carolyne Tsai
Arbitrator(s): Annamaria Boccia Smith, Carol Maria Luttati, Lawrence A Spallanzani
Hearing Site: Jersey City, NJ
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| 23-03049 | 01/25/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Keith J. Barnett
Respondent(s): David Ridenour
Respondent Lawyers(s): David Kyle Ridenour
Arbitrator(s): Mary Elizabeth Skelnik
Hearing Site: Oklahoma City, OK
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| 23-01490 | 01/24/2024 | Claimant(s): Joseph Bauer
Claimant Lawyers(s): Harris Freedman
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Amanda L. Parisi
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
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| 23-00513 | 01/24/2024 | Claimant(s): Crystal Garrett
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
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| 23-00790 | 01/24/2024 | Claimant(s): John Turner
Claimant Lawyers(s): John Hitchings
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 23-02255 | 01/24/2024 | Claimant(s): David Warshaw
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): American Portfolios Financial Srvs.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Abe I. Borenstein, Charles Platto, John Warner Lowe
Hearing Site: New York, NY
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| 23-02601 | 01/24/2024 | Claimant(s): Joseph Doku
Claimant Lawyers(s): Christopher H Tovar
Respondent(s): Mutual of America Securities LLC
Respondent Lawyers(s): John McLean
Arbitrator(s): Lanny M. Leff, Michael Kelley, Richard Kent Mahrle
Hearing Site: Phoenix, AZ
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| 23-01480 | 01/24/2024 | Claimant(s): Cenk Kozulcali
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
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| 23-00967 | 01/23/2024 | Claimant(s): Victor Tomassini
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
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