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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