| 23-01339 | 01/08/2024 | Claimant(s): Brennan Mayfield
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Shannon M. Wheaton
Arbitrator(s): David William Hickman
Hearing Site: Seattle, WA
| | |
| 23-00333 | 01/08/2024 | Claimant(s): Brian Gardiner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cabot Lodge Securities LLC
Respondent Lawyers(s): James Baehr
Arbitrator(s): Nancy E. Watters
Hearing Site: Baltimore, MD
| | |
| 22-01229 | 01/05/2024 | Claimant(s): Boustead Securities, Llc
Claimant Lawyers(s): Joseph Dale Wilson
Respondent(s): EBET.
Respondent Lawyers(s): Farhad Novian
Arbitrator(s): Joseph C. Watson, Richard Maurice Robinson, Michael Craig Ditty
Hearing Site: Los Angeles, CA
| | |
| 23-01065 | 01/05/2024 | Claimant(s): Carlos Ubinas Taylor
Claimant Lawyers(s): Ubaldo M. Fernandez-Barrera
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
| | |
| 22-00681 | 01/05/2024 | Claimant(s): Joseph Cucinotta
Claimant Lawyers(s): Michael Bessette
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Greg M. Curley
Arbitrator(s): Carol H. Gold, Donald S. Bauman, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | |
| 23-01178 | 01/05/2024 | Claimant(s): Christopher Lazos
Claimant Lawyers(s): Jonathan Uretsky
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William H. Badinelli
Arbitrator(s): Edward R. Niederriter, Marie G. Peterson, Leslie Bauknight Nixon
Hearing Site: Boca Raton, FL
| | |
| 23-01610 | 01/04/2024 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric Raphan
Respondent(s): Andrew Smith
Respondent Lawyers(s): Andrew Smith
Arbitrator(s): Bert P. Krages
Hearing Site: Portland, OR
| | |
| 23-00695 | 01/04/2024 | Claimant(s): Keith Medeck
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Continental Broker-Dealer Corp.
Respondent Lawyers(s): Michael Clements
Arbitrator(s): Ted M. Rosen, Neil G. Gargiulo, Arthur Neil Tolciss
Hearing Site: New York, NY
| | |
| 22-01629 | 01/03/2024 | Claimant(s): Lu Yu
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | |
| 23-01000 | 01/02/2024 | Claimant(s): Doel Garciaromero
Claimant Lawyers(s): Ubaldo M. Fernandez-Barrera
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Steven N. Ainbinder
Hearing Site: San Juan, PR
| | |
