| 23-00794 | 10/31/2023 | Claimant(s): Justin Bailey
Claimant Lawyers(s): Robert Hill
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 22-00316 | 10/30/2023 | Claimant(s): Cantor Fitzgerald & Co.
Claimant Lawyers(s): David Paul
Respondent(s): Adil Sener, John Bills, Kevin Phillips, Robert Kavanagh, Schuyler Fabian, Pei Global Partners LLC
Respondent Lawyers(s): Joshua D. Liston
Arbitrator(s): Michael S. Lazan, Eric Zaidins, Richard M Kosnik
Hearing Site: New York, NY
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| 23-00732 | 10/30/2023 | Claimant(s): David Dietrich
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
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| 22-02914 | 10/30/2023 | Claimant(s): Paul Michlik
Claimant Lawyers(s): Paul Michlik
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Ronald N. Roth, Erik R. Siering, Anatoly Tony Zuban
Hearing Site: San Diego, CA
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| 23-00670 | 10/30/2023 | Claimant(s): Dianne Odom
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Woodbury Financial Services., J.W. Cole Financial., Transamerica Financial Advisors
Respondent Lawyers(s): Gregg J. Breitbart, Jennifer R. Cox, Susan D. Duff
Arbitrator(s): David M. Snyder, Nathan Jon Larson, Bryant Ashley Scriven
Hearing Site: Tampa, FL
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| 23-00346 | 10/27/2023 | Claimant(s): James LaNeave
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): SII Investments.
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Richard James Igou
Hearing Site: Richmond, VA
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| 23-00933 | 10/27/2023 | Claimant(s): James Ugobono
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 22-02011 | 10/24/2023 | Claimant(s): Qwikt Global Securities LLC
Claimant Lawyers(s): Robert Maguire
Respondent(s): Apex Clearing Corporation
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Rosemary Rachael, Michele N. O'Brien, Mary O'Connor
Hearing Site: Dallas, TX
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| 23-00046 | 10/20/2023 | Claimant(s): Anita Brennan, Marina Tudela
Claimant Lawyers(s): Leslie Flores
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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| 22-02940 | 10/20/2023 | Claimant(s): Jose Chaves
Claimant Lawyers(s): Russell Del Toro Parra
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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