| 24-00472 | 10/24/2024 | Claimant(s): Michelle Anthony
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Matthew P. Fischer
Arbitrator(s): Barbara M. Zak
Hearing Site: Phoenix, AZ
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| 23-02908 | 10/24/2024 | Claimant(s): Anthony Buono, Michael Burkoff
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Joseph W. Lodato, Veera V. Konka, Ellyn S. Roth
Hearing Site: New York, NY
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| 24-00803 | 10/24/2024 | Claimant(s): D.A. Davidson & Co.
Claimant Lawyers(s): Nancy L Hendrickson
Respondent(s): Gregg Whelan
Respondent Lawyers(s): Austin Davis
Arbitrator(s): Robert D. Sussin, Jeffrey L. Malek, Anna Marie Turco
Hearing Site: Los Angeles, CA
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| 23-02144 | 10/24/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Frank J. Cuccio
Respondent(s): Linda Borst
Respondent Lawyers(s): Matthew J. Klieger
Arbitrator(s): Edward W. Morris, Lorrie E Whitfield, Miki Herrick
Hearing Site: New York, NY
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| 23-02871 | 10/23/2024 | Claimant(s): Andrew Stout
Claimant Lawyers(s): Peter Lindholm
Respondent(s): WAMU Investments., UBS Financial Services Inc., Citicorp Investment Services
Respondent Lawyers(s): Adam Kaufforate Officer, John Murphy
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
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| 24-00073 | 10/23/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Miles D. Hart
Respondent(s): Thomas Braley
Respondent Lawyers(s): Thomas Alan Braley
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
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| 24-00283 | 10/21/2024 | Claimant(s): Brian Bova
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cabot Lodge Securities LLC
Respondent Lawyers(s): James Baehr
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
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| 23-00013 | 10/21/2024 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Robert Fitzpatrick
Respondent(s): Kyle Manning
Respondent Lawyers(s): Kyle Manning
Arbitrator(s): Zung T. Nguyen, Noah Jonathan Hanft, Maurice Robinson
Hearing Site: New York, NY
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| 22-02051 | 10/21/2024 | Claimant(s): Darren Oglesby
Claimant Lawyers(s): Patrick S. Wolleson
Respondent(s): Amber Fife, Wells Fargo Clearing Services, Michael Ryan
Respondent Lawyers(s): Thomas K. Potter
Arbitrator(s): Mark A. Myers, Kenneth R. Starr, Robert E. Graves
Hearing Site: Jackson, MS
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| 23-02995 | 10/18/2024 | Claimant(s): Robert Eide
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): William E. Nuckel
Hearing Site: New York, NY
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