| 21-00561 | 12/11/2023 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Alexander C.B. Barnard
Respondent(s): Daniel Caso
Respondent Lawyers(s): Louis M. Ciavarra
Arbitrator(s): Michael L. Letendre, Andrea J. Goldman, Stephen Polit
Hearing Site: Boston, MA
| | |
| 23-01335 | 12/11/2023 | Claimant(s): Christopher Rieger
Claimant Lawyers(s): Harris Freedman
Respondent(s): A.G.P. / Alliance Global Partners
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 22-02231 | 12/08/2023 | Claimant(s): Sonia Pou Monagas
Claimant Lawyers(s): Roberto C Quinones-Rivera
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
| | |
| 23-01302 | 12/08/2023 | Claimant(s): Douglas Woolley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
| | |
| 22-02196 | 12/07/2023 | Claimant(s): Hector Mejia, Mario Arnal Reveles
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): ADP Broker-Dealer.
Respondent Lawyers(s): Leigh H. McMonigle
Arbitrator(s): Albert T. T. Cook, Mary C. Davis, Walter Steven Schwartz
Hearing Site: Albuquerque, NM
| | |
| 21-00982 | 12/07/2023 | Claimant(s): Dania Sepahrokh, Jerome Menig, Renee Vonalmen, Saurin Patel, Tamaira Suwanski
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): BMO Harris Financial Advisors.
Respondent Lawyers(s): Randall M. Lending
Arbitrator(s): Michael S. Matek, Ann Hagerty, Robert F Hogan
Hearing Site: Chicago, IL
| | |
| 23-00970 | 12/07/2023 | Claimant(s): Francisco Landivar
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
| | |
| 23-01086 | 12/07/2023 | Claimant(s): Philip Arnheiter
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Morgan Stanley DW Inc., Wells Fargo Advisors Financial Network, Oppenheimer & Co..
Respondent Lawyers(s): Andrew Joyce, Deirdre Wolff, William H. Badinelli
Arbitrator(s): Kenneth J. Horowitz, Jeffrey Zuckerman, Robert Andrew Sollazzo
Hearing Site: Jersey City, NJ
| | |
| 23-01694 | 12/07/2023 | Claimant(s): Russell Samples
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): John Kenneth Popham
Hearing Site: Dallas, TX
| | |
| 23-01257 | 12/06/2023 | Claimant(s): Andrew Schroeder
Claimant Lawyers(s): James P. Galvin
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): William M. Azkoul
Hearing Site: Des Moines, IA
| | |
