| 23-01274 | 02/15/2024 | Claimant(s): David Mcadams
Claimant Lawyers(s): James P. Galvin
Respondent(s): WFG Investments.
Respondent Lawyers(s): David W. Williams
Arbitrator(s): Harvey R. Linder
Hearing Site: Memphis, TN
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| 23-02715 | 02/15/2024 | Claimant(s): Michael Sherman, Steven Chille
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
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| 23-01445 | 02/15/2024 | Claimant(s): Jonathan Satovsky
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Financial Services, USF Securities, L.P.
Respondent Lawyers(s): CT Corporation System, Howard Klausmeier
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
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| 23-01241 | 02/14/2024 | Claimant(s): Joseph Petrillo
Claimant Lawyers(s): Kathleen Patchel
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Michael J. Biondi
Arbitrator(s): Michael H DuBoff
Hearing Site: Jersey City, NJ
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| 23-01430 | 02/14/2024 | Claimant(s): Robert Huser
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
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| 23-00329 | 02/14/2024 | Claimant(s): Anita Brennan, Marina Tudela
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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| 23-01231 | 02/14/2024 | Claimant(s): Kristy Meeler
Claimant Lawyers(s): Harris Freedman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Maurice M. Feller
Hearing Site: Jacksonville, FL
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| 23-02595 | 02/14/2024 | Claimant(s): NAMCOA - Naples Asset Management Co
Claimant Lawyers(s): Paul J McIntyre
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Paul J. Burkhart
Hearing Site: Boca Raton, FL
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| 23-01341 | 02/14/2024 | Claimant(s): Champ Warren
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
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| 23-01056 | 02/14/2024 | Claimant(s): John Lahoud
Claimant Lawyers(s): Michael Bessette
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John Murphy, Laura A. Pizzitola
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
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