| 23-00301 | 11/24/2023 | Claimant(s): Kenneth Bonal
Claimant Lawyers(s): Seth N. Bursky
Respondent(s): Avalon Partners.
Respondent Lawyers(s): Concetto Kevin Barone
Arbitrator(s): Neil G. Gargiulo, Lori H. Carena, Susan Romano
Hearing Site: New York, NY
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| 23-01347 | 11/24/2023 | Claimant(s): Steven Hein
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Richard W. Epstein, Scott A. Eichhorn, Ellen Jane Vaughan
Hearing Site: Boca Raton, FL
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| 23-00728 | 11/22/2023 | Claimant(s): Mark Schrader
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Dime Securities.
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Daniel Robbins, Thomas M. Madden, Jonathan Ashley Pomeroy
Hearing Site: New York, NY
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| 23-01273 | 11/21/2023 | Claimant(s): Anthony Caputo
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Saad Rahmouni
Arbitrator(s): Alice E. Winkler
Hearing Site: Jersey City, NJ
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| 23-01497 | 11/21/2023 | Claimant(s): Marc Seeherman
Claimant Lawyers(s): Steven E. Mellen
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Saad Rahmouni
Arbitrator(s): Jeffrey Alan Helewitz, Albert L. Akerman, Steven Gary Leventhal
Hearing Site: New York, NY
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| 23-00811 | 11/21/2023 | Claimant(s): Bernard Mahon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Nancy E. Watters
Hearing Site: Washington, DC
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| 23-00383 | 11/21/2023 | Claimant(s): Aram Seferian
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Continental Broker-Dealer Corp.
Respondent Lawyers(s): Thomas Tiernan
Arbitrator(s): Jill Pilgrim, Brian R. Cohen, Amy Jill Baranoff
Hearing Site: New York, NY
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| 22-02610 | 11/21/2023 | Claimant(s): Haydee Delgado
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Stuart K. Furman
Hearing Site: San Juan, PR
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| 23-01417 | 11/21/2023 | Claimant(s): Charles Natt
Claimant Lawyers(s): Adam Kauff
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alexandros Diplas
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
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| 23-01763 | 11/21/2023 | Claimant(s): Mark Hopper
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Gerald Silverman
Hearing Site: Boca Raton, FL
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