22-02907 | 11/30/2023 | Claimant(s): Shailesh Negandhi Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John B. Clark Arbitrator(s): Ross B. Russell Hearing Site: Dallas, TX
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22-02303 | 11/30/2023 | Claimant(s): Whelan Advisory Capital Markets, Whelan Advisory Claimant Lawyers(s): Roger E. Barton Respondent(s): HomeSource Operations Respondent Lawyers(s): Brian J. Capitummino Arbitrator(s): Robert Neal Hunter, David F. Simon, John Gorman Hearing Site: New York, NY
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23-00084 | 11/30/2023 | Claimant(s): Frank Palumbo Claimant Lawyers(s): Thomas McEvoy Respondent(s): American Capital Partners, Sanders Morris Harris LLC Respondent Lawyers(s): John Gardini, Steve Mangold Arbitrator(s): Richard W. Cutler Hearing Site: New York, NY
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23-01318 | 11/29/2023 | Claimant(s): Michael Stewart Claimant Lawyers(s): Harris Freedman Respondent(s): Fifth Third Securities. Respondent Lawyers(s): R. Samuel Gilley Arbitrator(s): Gregory G. Gocek Hearing Site: Chicago, IL
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22-02651 | 11/29/2023 | Claimant(s): William Garity Medina Claimant Lawyers(s): Roberto C. Quinones 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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23-01063 | 11/29/2023 | Claimant(s): Jeffrey Zapoleon Claimant Lawyers(s): Curtis Carlson Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Theodore R. Bynum Arbitrator(s): Steven R. Reininger, Louis David Huss, Michael Mazor Hearing Site: Boca Raton, FL
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23-00910 | 11/28/2023 | Claimant(s): Christopher Hobart Claimant Lawyers(s): Tosh Grebenik Respondent(s): G.F. Investment Services Respondent Lawyers(s): Larry W. Yager Arbitrator(s): Stuart K. Furman, Alan Thomas Morgan, Alicia Mitchell-Mercer Hearing Site: Charlotte, NC
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23-01573 | 11/27/2023 | Claimant(s): Joe Franklin Claimant Lawyers(s): Bryan Ward Respondent(s): LPL Financial LLC, Raymond James & Associates. Respondent Lawyers(s): Laura Ruiz Rivera, Matthew Bohenek Arbitrator(s): Stuart K. Furman, Douglas Charles Weinstein, Sara Francis Hoover Hearing Site: Nashville, TN
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23-00998 | 11/27/2023 | Claimant(s): Krishnaa Ghosh Claimant Lawyers(s): Katherine Skubecz Respondent(s): Citizens Securities. Respondent Lawyers(s): Amy M. McCallen Arbitrator(s): Arthur Lewis Pressman, Elise Frost Alair Hearing Site: Boston, MA
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22-02617 | 11/24/2023 | Claimant(s): Carlos Pou Claimant Lawyers(s): Leslie Y. Flores Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina Velez Arbitrator(s): Barth Satuloff Hearing Site: San Juan, PR
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