| 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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| 23-00239 | 01/23/2024 | Claimant(s): Orlando Perez, Viviana Perez Cordero
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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| 23-02525 | 01/23/2024 | Claimant(s): Alexander Phillips, Jordan Hayes
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
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| 23-03107 | 01/23/2024 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Saumeu P. Mauch
Respondent(s): Leonardo Hernandez
Respondent Lawyers(s): Leonardo Hernandez
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
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| 23-01368 | 01/23/2024 | Claimant(s): William Brown
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James & Associates., Legg Mason Wood Walker, R. H. York & Company.
Respondent Lawyers(s): Laura Ruiz Rivera, Lawrence York, Rosemary Francavilla
Arbitrator(s): Kevin R. Zehe
Hearing Site: Cincinnati, OH
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| 23-01224 | 01/23/2024 | Claimant(s): Jason Franklin
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Leonard & Company
Respondent Lawyers(s): Dainforth French
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Detroit, MI
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