22-02660 | 09/08/2023 | Claimant(s): Jacob Williams Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Garrett R. Wynne Arbitrator(s): Joseph Winter, Anita Teresa Hayden, Jonathan Gartner Hearing Site: Los Angeles, CA
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22-00858 | 09/07/2023 | Claimant(s): Ruochen Zhou Claimant Lawyers(s): Gary Trachten Respondent(s): Millennium Advisors, Millennium Consolidated Holdings Respondent Lawyers(s): Daniel S. Newman Arbitrator(s): Chase Boone Saunders, James Hugh Williams, Daniel F. Piar Hearing Site: Charlotte, NC
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23-00162 | 09/07/2023 | Claimant(s): Joseph Ferron Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): FFP Securities., Veravest Investments. Respondent Lawyers(s): Donna Lawson, Mark H. Stepakoff Arbitrator(s): Lewis S. Kurlantzick, Michael A. Orticelle, John Thomas Shaban Hearing Site: Hartford, CT
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22-02605 | 09/06/2023 | Claimant(s): Carlos Pou Claimant Lawyers(s): Leslie Y 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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22-02448 | 09/06/2023 | Claimant(s): Amy Zachery Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Jason Kempf Arbitrator(s): George Pinckney Shingler Hearing Site: Atlanta, GA
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23-00121 | 09/01/2023 | Claimant(s): James Small Claimant Lawyers(s): Tosh Grebenik Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam Kauff Arbitrator(s): Royetta M. Jones, Walter Steven Schwartz, Nancy Lynn Boyd Hearing Site: Las Vegas, NV
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22-02757 | 09/01/2023 | Claimant(s): Kristi Trowbridge, Steve Trowbridge Claimant Lawyers(s): Zachary T. Hayes-Macaluso Respondent(s): NewBridge Securities Corp. Respondent Lawyers(s): Robert Abrams Arbitrator(s): Earle J. Schwarz Hearing Site: Birmingham, AL
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23-01102 | 09/01/2023 | Claimant(s): Brian Donaldson, Frank Baldwin Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Kirtley M. Thiesmeyer Hearing Site: San Diego, CA
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22-02848 | 09/01/2023 | Claimant(s): William Young Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Grove Point Investments, United Brokerage Services Respondent Lawyers(s): Matt Winterhalter, Michael Earl Arbitrator(s): Kurt Matthew Schwartz, Michael James Malone, Clinton Barkdoll Hearing Site: Washington, DC
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23-01264 | 08/31/2023 | Claimant(s): William Cerf Claimant Lawyers(s): Zachary M. Schmitz Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Michele S. Riley Hearing Site: New York, NY
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