| 23-00826 | 01/18/2024 | Claimant(s): Michael McGee
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Investment Professionals.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Robert J. Gregory, Robert Sullivan Tyler, Terry Lynn Buffalo
Hearing Site: Little Rock, AR
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| 23-01706 | 01/18/2024 | Claimant(s): Brian Farkas
Claimant Lawyers(s): Robert Moses
Respondent(s): American Portfolios Financial Srvs.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
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| 23-00156 | 01/18/2024 | Claimant(s): Robert Binkowski
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Lucia Securities
Respondent Lawyers(s): Tiy O'Neal
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
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| 23-01001 | 01/17/2024 | Claimant(s): Ernest Montavon
Claimant Lawyers(s): Brian Luther
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Mark A. Pratzel
Arbitrator(s): Peter E. Gillespie
Hearing Site: Hartford, CT
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| 23-01783 | 01/12/2024 | Claimant(s): Ghiass Ali, Sunshine Financial Solutions of South FL
Claimant Lawyers(s): Demetrios Pavlou
Respondent(s): Scott Storick
Respondent Lawyers(s): Scott R. Storick
Arbitrator(s): William Kent Brown
Hearing Site: Boca Raton, FL
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| 23-01023 | 01/12/2024 | Claimant(s): Samuel Wyman
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Gilford Securities Incorporated
Respondent Lawyers(s): Bonnie Sachs
Arbitrator(s): Sandra J. Mullings, Thomas Hansen Boast, Susan Romano
Hearing Site: New York, NY
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| 23-01340 | 01/12/2024 | Claimant(s): Jack Thacker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Center Street Securities.
Respondent Lawyers(s): Unbo (Bob) Chung
Arbitrator(s): Michael J. Ahlstrom, Jeffrey S. Fannon, Eric Matthew Bittner
Hearing Site: Nashville, TN
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| 23-01566 | 01/12/2024 | Claimant(s): Howard Hsieh
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
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| 23-02637 | 01/11/2024 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Hunt Ricker
Respondent(s): Seth Horowitz
Respondent Lawyers(s): Seth Horowitz
Arbitrator(s): David John Reilly
Hearing Site: New York, NY
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| 23-01374 | 01/11/2024 | Claimant(s): Howard Hsieh
Claimant Lawyers(s): Christina Vourakis
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
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