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
| | |
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
| | |
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
| | |
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
| | |
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
| | |
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
| | |
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
| | |
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
| | |
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
| | |
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
| | |