| 23-00829 | 11/20/2023 | Claimant(s): Michelle Rodriguez
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
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| 23-00743 | 11/20/2023 | Claimant(s): Yang Nie
Claimant Lawyers(s): Everett Pritchard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Edith N. Dinneen
Hearing Site: Los Angeles, CA
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| 23-01216 | 11/20/2023 | Claimant(s): James Cipriotti
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Hornor, Townsend & Kent.
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 22-02253 | 11/20/2023 | Claimant(s): Brian Stephens
Claimant Lawyers(s): Gary S. Kessler
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): Michael Edward Watts, Robert C. Rice, Kevin Colby
Hearing Site: Houston, TX
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| 23-00958 | 11/20/2023 | Claimant(s): Victor Tomassini
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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| 23-01064 | 11/20/2023 | 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
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| 23-02033 | 11/17/2023 | Claimant(s): Charles Reimer
Claimant Lawyers(s): James P. Galvin
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Thomas E Kopil, Arthur Traldi, Michael Daniel Lamm
Hearing Site: Philadelphia, PA
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| 23-01356 | 11/17/2023 | Claimant(s): Craig Accardo
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Robert H. Putnam
Hearing Site: New Orleans, LA
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| 23-01251 | 11/17/2023 | Claimant(s): Benjamin Marcano
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Wells Fargo Advisors Financial Network, UBS Financial Services Inc.
Respondent Lawyers(s): Deirdre Wolff, John Murphy
Arbitrator(s): Madelon M. Rosenfeld, Alice E. Winkler, Robert Morris
Hearing Site: New York, NY
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| 23-00830 | 11/17/2023 | Claimant(s): Carlos Ubinas Taylor
Claimant Lawyers(s): Ubaldo M. Fernandez-Barrera
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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