| 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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