| 22-02900 | 10/12/2023 | Claimant(s): Richard Ehrlich
Claimant Lawyers(s): Harris Freedman
Respondent(s): Park Avenue Securities LLC, Securian Financial Services.
Respondent Lawyers(s): Kathryn Roe Eldridge, Lisa Stopfer
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: Boca Raton, FL
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| 22-02937 | 10/12/2023 | Claimant(s): Fernando Gonzalez
Claimant Lawyers(s): Russell Del Toro
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Steven N. Ainbinder
Hearing Site: San Juan, PR
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| 22-02594 | 10/12/2023 | Claimant(s): Ernest Musgrave
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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| 22-02522 | 10/11/2023 | Claimant(s): Federico Lopez Juarbe
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 23-00220 | 10/10/2023 | Claimant(s): David Hua
Claimant Lawyers(s): Seth N. Bursky
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Jill Pilgrim, Leslie Conason, Lorraine Diane Mandel
Hearing Site: New York, NY
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| 18-03113 | 10/09/2023 | Claimant(s): Matt Ardoyno
Claimant Lawyers(s): Rogge Dunn
Respondent(s): Randy Bray
Respondent Lawyers(s): Matthew B. Henneman
Arbitrator(s): Andrea U. Calve, Anita M. Jean, Michael Wayne Johnston
Hearing Site: Dallas, TX
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| 21-03038 | 10/09/2023 | Claimant(s): William Capece
Claimant Lawyers(s): Christopher Coss
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Stephen T. Mayhew, Gregory J. Spadea, Arthur Traldi
Hearing Site: Philadelphia, PA
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| 22-02615 | 10/09/2023 | Claimant(s): Stefan Nensala
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): G. Maynard Green
Hearing Site: Houston, TX
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| 21-00242 | 10/06/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Keith Barnett
Respondent(s): Matthew Sherbondy
Respondent Lawyers(s): William R. Carlisle
Arbitrator(s): Mollie Wagner Neal, David Blair Sinyard, Edward Martin Davidson
Hearing Site: Atlanta, GA
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| 23-00389 | 10/06/2023 | Claimant(s): Scott Rose
Claimant Lawyers(s): William Bean
Respondent(s): Citigroup Global Markets., J.P. Morgan Securities
Respondent Lawyers(s): Adam Kauff, Thomas J. Cahill
Arbitrator(s): Jeffrey Alan Helewitz
Hearing Site: New York, NY
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