23-00346 | 10/27/2023 | Claimant(s): James LaNeave Claimant Lawyers(s): Dochtor Kennedy Respondent(s): SII Investments. Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Richard James Igou Hearing Site: Richmond, VA
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23-00933 | 10/27/2023 | Claimant(s): James Ugobono 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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22-02011 | 10/24/2023 | Claimant(s): Qwikt Global Securities LLC Claimant Lawyers(s): Robert Maguire Respondent(s): Apex Clearing Corporation Respondent Lawyers(s): Jonathan D. Neerman Arbitrator(s): Rosemary Rachael, Michele N. O'Brien, Mary O'Connor Hearing Site: Dallas, TX
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23-00046 | 10/20/2023 | Claimant(s): Anita Brennan, Marina Tudela Claimant Lawyers(s): Leslie Flores 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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22-02940 | 10/20/2023 | Claimant(s): Jose Chaves Claimant Lawyers(s): Russell Del Toro Parra 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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22-02424 | 10/20/2023 | Claimant(s): Michael Norton Claimant Lawyers(s): Stephan Louviere Respondent(s): Lincoln Financial Distributors. Respondent Lawyers(s): Dustin J. Tirpak Arbitrator(s): Guillermo L. Bosch Hearing Site: Philadelphia, PA
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22-02920 | 10/20/2023 | Claimant(s): Shailesh Negandhi Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Frances Johnson Wright Hearing Site: Dallas, TX
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23-00406 | 10/19/2023 | Claimant(s): Christopher Ortiz Claimant Lawyers(s): Craig A. Riha Respondent(s): National Securities Corporation Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): Leona Beane, Gerald M. Levine, Matthew Anthony Tenteromano Hearing Site: New York, NY
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23-01236 | 10/19/2023 | Claimant(s): Kenneth Stern Claimant Lawyers(s): Robert Moses Respondent(s): First Allied Securities. Respondent Lawyers(s): Jeremy Wooden Arbitrator(s): Barbara M. Zak Hearing Site: San Diego, CA
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22-02585 | 10/19/2023 | Claimant(s): Ricardo Eboli-Kodesh Claimant Lawyers(s): Roberto C. Quinones Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey Medina Arbitrator(s): Louis David Huss Hearing Site: San Juan, PR
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