| 22-02978 | 11/07/2023 | Claimant(s): Carlos Fernandez
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): David Aaron DeSoto
Hearing Site: Houston, TX
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| 23-01612 | 11/07/2023 | Claimant(s): Adrienne Rowles
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Ameriprise Financial Services, Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff, Howard M. Klausmeier
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
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| 23-00702 | 11/07/2023 | Claimant(s): Fady Nakhla
Claimant Lawyers(s): Fady Milad Nakhla
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Charlton Young
Arbitrator(s): Peter L. Michaelson, Justin Gregory Anuario, Justin Escher Alpert
Hearing Site: Jersey City, NJ
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| 23-01328 | 11/06/2023 | Claimant(s): Gareth Evans
Claimant Lawyers(s): William Bean
Respondent(s): Dominick & Dickerman LLC
Respondent Lawyers(s): Robert M. Hladek
Arbitrator(s): Ira A. Auerbach
Hearing Site: New York, NY
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| 23-01402 | 11/06/2023 | Claimant(s): Loreen Gilbert
Claimant Lawyers(s): Bryce M Cullinane
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Michael West
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
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| 23-00547 | 11/06/2023 | Claimant(s): Ray Anthony San Pedro
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Denise L. Quarles, Michele S. Riley, Joanne Sari Feld
Hearing Site: New York, NY
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| 23-01036 | 11/06/2023 | Claimant(s): Christopher Norton
Claimant Lawyers(s): Joshua A Katz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Randy R Freedman, Michael Ross, Barry David Thorpe
Hearing Site: Boca Raton, FL
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| 23-00561 | 11/02/2023 | Claimant(s): Jack Brkich
Claimant Lawyers(s): Jessica E. Levine
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Smitham
Arbitrator(s): Adam Michael Porter
Hearing Site: Los Angeles, CA
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| 22-02351 | 11/02/2023 | 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): Louis David Huss
Hearing Site: San Juan, PR
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| 23-02105 | 11/02/2023 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Haley Morrison
Respondent(s): Joseph Di Peri
Respondent Lawyers(s): Joseph J Di Peri
Arbitrator(s): Joseph C. Roberts
Hearing Site: Portland, OR
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