| 23-01475 | 12/12/2023 | Claimant(s): D.A. Davidson & Co.
Claimant Lawyers(s): Nancy L. Hendrickson
Respondent(s): Kevin Arvoy
Respondent Lawyers(s): Kevin Michael Arvoy
Arbitrator(s): Elizabeth Gilbert, Charles Platto, Douglas Mark Polley
Hearing Site: New York, NY
| | |
| 23-01435 | 12/12/2023 | Claimant(s): Jeffrey Hill
Claimant Lawyers(s): Robert Jay Moses
Respondent(s): American Portfolios Financial Srvs.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): John J. Mager
Hearing Site: Albany, NY
| | |
| 23-00545 | 12/12/2023 | Claimant(s): Martin Gruner
Claimant Lawyers(s): Kristina Contreras
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | |
| 23-01895 | 12/11/2023 | Claimant(s): Mohamed Azeez
Claimant Lawyers(s): Mohamed Azeez
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Charlton Young
Arbitrator(s): Joanne Colbert Stanley
Hearing Site: Boca Raton, FL
| | |
| 23-00099 | 12/11/2023 | Claimant(s): Greggory Keele
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Indianapolis, IN
| | |
| 21-00561 | 12/11/2023 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Alexander C.B. Barnard
Respondent(s): Daniel Caso
Respondent Lawyers(s): Louis M. Ciavarra
Arbitrator(s): Michael L. Letendre, Andrea J. Goldman, Stephen Polit
Hearing Site: Boston, MA
| | |
| 23-01335 | 12/11/2023 | Claimant(s): Christopher Rieger
Claimant Lawyers(s): Harris Freedman
Respondent(s): A.G.P. / Alliance Global Partners
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | |
| 22-02231 | 12/08/2023 | Claimant(s): Sonia Pou Monagas
Claimant Lawyers(s): Roberto C Quinones-Rivera
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
| | |
| 23-01302 | 12/08/2023 | Claimant(s): Douglas Woolley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
| | |
| 22-02196 | 12/07/2023 | Claimant(s): Hector Mejia, Mario Arnal Reveles
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): ADP Broker-Dealer.
Respondent Lawyers(s): Leigh H. McMonigle
Arbitrator(s): Albert T. T. Cook, Mary C. Davis, Walter Steven Schwartz
Hearing Site: Albuquerque, NM
| | |
