| 23-00226 | 01/10/2024 | Claimant(s): Terry Hastings
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Allan R. Lazor
Hearing Site: New Orleans, LA
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| 23-01651 | 01/10/2024 | Claimant(s): Jarod Tibbetts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Country Capital Management Company
Respondent Lawyers(s): John O'Brien
Arbitrator(s): Robert J. Gregory
Hearing Site: Kansas City, MO
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| 23-00915 | 01/09/2024 | Claimant(s): William Garity Medina
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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| 23-00796 | 01/09/2024 | Claimant(s): Daniel Beech
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Western International Securities.
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Ronald L. Cameron, Alexandra M. Linden, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
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| 23-01403 | 01/08/2024 | Claimant(s): Brian Griffin
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael Rowe
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Buffalo, NY
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| 23-01339 | 01/08/2024 | Claimant(s): Brennan Mayfield
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Shannon M. Wheaton
Arbitrator(s): David William Hickman
Hearing Site: Seattle, WA
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| 23-00333 | 01/08/2024 | Claimant(s): Brian Gardiner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cabot Lodge Securities LLC
Respondent Lawyers(s): James Baehr
Arbitrator(s): Nancy E. Watters
Hearing Site: Baltimore, MD
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| 22-01229 | 01/05/2024 | Claimant(s): Boustead Securities, Llc
Claimant Lawyers(s): Joseph Dale Wilson
Respondent(s): EBET.
Respondent Lawyers(s): Farhad Novian
Arbitrator(s): Joseph C. Watson, Richard Maurice Robinson, Michael Craig Ditty
Hearing Site: Los Angeles, CA
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| 23-01065 | 01/05/2024 | Claimant(s): Carlos Ubinas Taylor
Claimant Lawyers(s): Ubaldo M. Fernandez-Barrera
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 22-00681 | 01/05/2024 | Claimant(s): Joseph Cucinotta
Claimant Lawyers(s): Michael Bessette
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Greg M. Curley
Arbitrator(s): Carol H. Gold, Donald S. Bauman, Laura A. Kaster
Hearing Site: Philadelphia, PA
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