| 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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| 23-00909 | 02/27/2024 | Claimant(s): Dennis Karjanis
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Sean Alan D'Amico, Jud Perkins, David Stein
Hearing Site: Hartford, CT
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| 23-01923 | 02/27/2024 | Claimant(s): John Westmoreland
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
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| 23-02491 | 02/26/2024 | Claimant(s): Raymond James & Associates.
Claimant Lawyers(s): Todd Ratner
Respondent(s): Katherine Tarbox
Respondent Lawyers(s): Katherine Alexandra Tarbox
Arbitrator(s): Raymond P. Buschmann
Hearing Site: Chicago, IL
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| 23-00923 | 02/26/2024 | Claimant(s): Miguel Hernandez
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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| 23-01329 | 02/26/2024 | Claimant(s): Gregory Malin
Claimant Lawyers(s): Harris Freedman
Respondent(s): M&T Securities.
Respondent Lawyers(s): Miriam Dowd
Arbitrator(s): Mark A. Sipper
Hearing Site: Buffalo, NY
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