| 23-00637 | 01/22/2024 | Claimant(s): Miguel Montejano
Claimant Lawyers(s): Amir Tadjedin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 22-02791 | 01/22/2024 | Claimant(s): Thomas Curtin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Robert L. Chase
Hearing Site: Hartford, CT
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| 23-01215 | 01/22/2024 | Claimant(s): Brent Turner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): QA3 Financial Corp., Transamerica Financial Advisors
Respondent Lawyers(s): Stephen K. Wild, Susan D. Duff
Arbitrator(s): Karl A. Vogeler
Hearing Site: Nashville, TN
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| 23-01400 | 01/22/2024 | Claimant(s): Roberto Vila
Claimant Lawyers(s): William Bean
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
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| 23-02322 | 01/19/2024 | Claimant(s): Elisheva Defeo
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Leslie Blickenstaff
Arbitrator(s): John Thomas Shaban, Edward S. Hill, Peter M Cosel
Hearing Site: Hartford, CT
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| 23-01913 | 01/19/2024 | Claimant(s): Michael Dieschbourg
Claimant Lawyers(s): James P. Galvin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
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| 23-01476 | 01/19/2024 | Claimant(s): Ivan Cen
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
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| 23-01271 | 01/19/2024 | Claimant(s): Gail Jensen, Martin McNees
Claimant Lawyers(s): Bradley Ziegler
Respondent(s): Madison Avenue Securities
Respondent Lawyers(s): John C. Gray
Arbitrator(s): Mark R. Lee, Ronald N. Roth, Vytas Tarulis
Hearing Site: San Diego, CA
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| 23-02633 | 01/18/2024 | Claimant(s): Robert Procaccianti
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Maya Steinitz
Hearing Site: Providence, RI
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| 23-01365 | 01/18/2024 | Claimant(s): Michelle Anthony
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Chase Investment Services Corp., Wells Fargo Clearing Services
Respondent Lawyers(s): Charlton Young, Neal S. Robb
Arbitrator(s): Erik R. Siering
Hearing Site: Phoenix, AZ
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