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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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