| 23-01063 | 11/29/2023 | Claimant(s): Jeffrey Zapoleon
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Theodore R. Bynum
Arbitrator(s): Steven R. Reininger, Louis David Huss, Michael Mazor
Hearing Site: Boca Raton, FL
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| 23-00910 | 11/28/2023 | Claimant(s): Christopher Hobart
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): G.F. Investment Services
Respondent Lawyers(s): Larry W. Yager
Arbitrator(s): Stuart K. Furman, Alan Thomas Morgan, Alicia Mitchell-Mercer
Hearing Site: Charlotte, NC
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| 23-01573 | 11/27/2023 | Claimant(s): Joe Franklin
Claimant Lawyers(s): Bryan Ward
Respondent(s): LPL Financial LLC, Raymond James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera, Matthew Bohenek
Arbitrator(s): Stuart K. Furman, Douglas Charles Weinstein, Sara Francis Hoover
Hearing Site: Nashville, TN
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| 23-00998 | 11/27/2023 | Claimant(s): Krishnaa Ghosh
Claimant Lawyers(s): Katherine Skubecz
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Amy M. McCallen
Arbitrator(s): Arthur Lewis Pressman, Elise Frost Alair
Hearing Site: Boston, MA
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| 22-02617 | 11/24/2023 | Claimant(s): Carlos Pou
Claimant Lawyers(s): Leslie Y. Flores
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Barth Satuloff
Hearing Site: San Juan, PR
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| 23-00301 | 11/24/2023 | Claimant(s): Kenneth Bonal
Claimant Lawyers(s): Seth N. Bursky
Respondent(s): Avalon Partners.
Respondent Lawyers(s): Concetto Kevin Barone
Arbitrator(s): Neil G. Gargiulo, Lori H. Carena, Susan Romano
Hearing Site: New York, NY
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| 23-01347 | 11/24/2023 | Claimant(s): Steven Hein
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Richard W. Epstein, Scott A. Eichhorn, Ellen Jane Vaughan
Hearing Site: Boca Raton, FL
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| 23-00728 | 11/22/2023 | Claimant(s): Mark Schrader
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Dime Securities.
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Daniel Robbins, Thomas M. Madden, Jonathan Ashley Pomeroy
Hearing Site: New York, NY
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| 23-01273 | 11/21/2023 | Claimant(s): Anthony Caputo
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Saad Rahmouni
Arbitrator(s): Alice E. Winkler
Hearing Site: Jersey City, NJ
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| 23-01497 | 11/21/2023 | Claimant(s): Marc Seeherman
Claimant Lawyers(s): Steven E. Mellen
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Saad Rahmouni
Arbitrator(s): Jeffrey Alan Helewitz, Albert L. Akerman, Steven Gary Leventhal
Hearing Site: New York, NY
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