| 21-02288 | 09/13/2023 | Claimant(s): John Baccich, Kevin Gaddi, Robert Gaddi, Steven Finnk
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Mesirow Financial.
Respondent Lawyers(s): James L. Kopecky
Arbitrator(s): Michael S. Matek, Gregory G. Gocek, William Popper
Hearing Site: Chicago, IL
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| 23-00009 | 09/13/2023 | Claimant(s): Brent Lee, Jennifer Donais
Claimant Lawyers(s): Brandon S. Reif
Respondent(s): Concorde Investment Services
Respondent Lawyers(s): Corporate Office
Arbitrator(s): Helen Marinak Blohm, Ramona V. Larson, Kathy A. Tatone
Hearing Site: Bismarck, ND
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| 23-00202 | 09/13/2023 | Claimant(s): Ryan Wold
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
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| 23-00089 | 09/12/2023 | Claimant(s): Jason Millner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Bridget Larsen
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Bismarck, ND
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| 23-01723 | 09/11/2023 | Claimant(s): Adam Epstein
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Kent L. Benziger
Hearing Site: New York, NY
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| 23-00483 | 09/11/2023 | Claimant(s): Andrei Hall
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
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| 23-01205 | 09/11/2023 | Claimant(s): Patrick Cree
Claimant Lawyers(s): Patrick H Cree
Respondent(s): Capital Growth Resources
Respondent Lawyers(s): Walter Miller
Arbitrator(s): Kelly A. Barker, Mitchell Lee Lathrop, Loyd A Wright
Hearing Site: San Diego, CA
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| 23-00029 | 09/08/2023 | Claimant(s): Hector Gonzalez
Claimant Lawyers(s): Linette Figueroa-Torres
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
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| 22-02696 | 09/08/2023 | Claimant(s): Richard Reynolds
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Gruntal & Co., L.L.C., Rockwell Global Capital LLC
Respondent Lawyers(s): Bruce Guarino, Donald N. Cohen
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
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| 22-02251 | 09/08/2023 | Claimant(s): Angel Canabal
Claimant Lawyers(s): Roberto C. Quinones
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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