23-00986 | 09/27/2023 | Claimant(s): Philip Bradshaw Claimant Lawyers(s): Katherine S. Bowles Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Daryl S. Landy Arbitrator(s): Mitchell Lee Lathrop Hearing Site: San Diego, CA
| | |
23-00598 | 09/26/2023 | Claimant(s): Aaron Gordon Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): New England Securities Corporation Respondent Lawyers(s): Martin Harris Arbitrator(s): Walter Steven Schwartz, Jason Robinson, John F Mencer Hearing Site: Phoenix, AZ
| | |
23-00098 | 09/25/2023 | Claimant(s): James Richardson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): Eric Ross Cromartie Hearing Site: Dallas, TX
| | |
22-02861 | 09/25/2023 | Claimant(s): Karen Hoy Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Tracy L. Allen Hearing Site: Cleveland, OH
| | |
23-00584 | 09/25/2023 | Claimant(s): Rohin Ullberg Claimant Lawyers(s): Dochtor Kennedy Respondent(s): SII Investments. Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Michael F. Jordan Hearing Site: Chicago, IL
| | |
23-00207 | 09/22/2023 | Claimant(s): Roger Follis Claimant Lawyers(s): Tosh Grebenik Respondent(s): Robertson Stephens. Respondent Lawyers(s): Vincent V. Mulcahy Arbitrator(s): Thomas Arthur Cohen Hearing Site: San Francisco, CA
| | |
23-00219 | 09/22/2023 | Claimant(s): Joseph Gileno Claimant Lawyers(s): Craig A. Riha Respondent(s): National Securities Corporation Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): Jill Pilgrim, Adam B. Lass, Elena Fast Hearing Site: New York, NY
| | |
22-02274 | 09/22/2023 | Claimant(s): David Rojas 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
| | |
23-01038 | 09/22/2023 | Claimant(s): Kyle Schiffler Claimant Lawyers(s): Stephan Louviere Respondent(s): Equitable Advisors Respondent Lawyers(s): Kevin W. Brooks Arbitrator(s): Carl E. Ver Beek Hearing Site: Minneapolis, MN
| | |
22-02558 | 09/22/2023 | Claimant(s): Michael Mcintyre Claimant Lawyers(s): Dochtor Kennedy Respondent(s): U.S. Bancorp Investments. Respondent Lawyers(s): Edward B. Magarian Arbitrator(s): Jerome F. Crotty, Henry G. Nothnagel, Steven H. Vogel Hearing Site: Chicago, IL
| | |