| 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
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| 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
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| 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
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| 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
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| 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
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| 22-02895 | 11/02/2023 | Claimant(s): Richard Ehrlich
Claimant Lawyers(s): Harris Freedman
Respondent(s): Lincoln Financial Securities Corporation
Respondent Lawyers(s): Dustin J. Tirpak
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
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| 23-00667 | 11/01/2023 | Claimant(s): Douglas Wall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Dallas, TX
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| 23-02152 | 11/01/2023 | Claimant(s): Sean Spencer, Access Capital
Claimant Lawyers(s): John Vaughn
Respondent(s): IMA Wealth
Respondent Lawyers(s): Clayton J. Kaiser
Arbitrator(s): John W. Jones, Leonard M. Goldstein, Tara A. LaClair
Hearing Site: Wichita, KS
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| 22-00919 | 11/01/2023 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Roxanna V Gonzalez
Respondent(s): Mark Joyner
Respondent Lawyers(s): Amy C. Johnson
Arbitrator(s): Irwin Venick, Michael Edward Collins, Douglas Charles Weinstein
Hearing Site: Nashville, TN
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| 23-00338 | 10/31/2023 | Claimant(s): Judson Potter
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Ira A. Auerbach
Hearing Site: New York, NY
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