| 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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