| 21-02754 | 01/02/2024 | Claimant(s): Jeffrey Nemesi
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Falcon Square Capital
Respondent Lawyers(s): Paul J. Bazil
Arbitrator(s): Jeffrey R. Brown, Margaret Elizabeth Gee, Danny Lynn Ingram
Hearing Site: Raleigh, NC
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| 23-00996 | 01/02/2024 | Claimant(s): Livia Mendes Mansur
Claimant Lawyers(s): Mark David Hunter
Respondent(s): XP Investments US
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Richard Carl Smukler, John S. Leech, Carl Henry Perdue
Hearing Site: Boca Raton, FL
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| 23-01085 | 01/02/2024 | Claimant(s): Luis Espinoza
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Ameriprise Financial Services., FFEC Wealth Partners LLC
Respondent Lawyers(s): Howard Klausmeier, Patrick W. Kelly
Arbitrator(s): Michael W. Burnett, Andrew M. Mintzer, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
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| 23-01373 | 12/29/2023 | Claimant(s): Jason Hill
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Bryan Gless
Arbitrator(s): Frances Johnson Wright
Hearing Site: Oklahoma City, OK
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| 23-01606 | 12/29/2023 | Claimant(s): Kenneth Bonal
Claimant Lawyers(s): Craig Riha
Respondent(s): J. P. Turner & Company LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Susan Romano, Loretta Yin, Jessica Marie Schuett
Hearing Site: New York, NY
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| 23-02468 | 12/29/2023 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Kwame Adusei
Respondent Lawyers(s): Kwame Adusei
Arbitrator(s): Jay Alan Kranis
Hearing Site: New York, NY
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| 22-02207 | 12/28/2023 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Craig Stein
Respondent(s): David Ferneding
Respondent Lawyers(s): David Jerome Ferneding
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Dallas, TX
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| 23-01214 | 12/28/2023 | Claimant(s): Robert Karp
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
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| 23-01464 | 12/28/2023 | Claimant(s): Arthur Grossbard
Claimant Lawyers(s): Everett Pritchard
Respondent(s): OSAIC Wealth
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Michael H DuBoff
Hearing Site: Jersey City, NJ
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| 23-01363 | 12/27/2023 | Claimant(s): Mark Gopen, Philip Weinisch
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Jeanette E. Dennis
Arbitrator(s): Thomas E. Duggan, Ellyn S. Roth, Gerald M. Levine
Hearing Site: New York, NY
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