| 23-02277 | 04/19/2024 | Claimant(s): Christine and Claude Inch
Claimant Lawyers(s): Christine and Claude Inch
Respondent(s): Pruco Securities., Prudential Equity Group, Harry Weber
Respondent Lawyers(s): Jennifer E. Novoselsky, Kendra S. Canape
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
|  | $0 |
| 23-01419 | 04/05/2024 | Claimant(s): Thomas Mccausland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., RBC Capital Markets LLC
Respondent Lawyers(s): Adam M. Kauff, Samuel F.B. Audley
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | |
| 21-00345 | 02/07/2024 | Claimant(s): David Ingle
Claimant Lawyers(s): Owen Harnett
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | |
| 23-01819 | 12/22/2023 | Claimant(s): Jessica Peabody
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Justin E. Condit
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | |
| 22-02196 | 12/07/2023 | Claimant(s): Hector Mejia, Mario Arnal Reveles
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): ADP Broker-Dealer.
Respondent Lawyers(s): Leigh H. McMonigle
Arbitrator(s): Albert T. T. Cook, Mary C. Davis, Walter Steven Schwartz
Hearing Site: Albuquerque, NM
| | |
| 23-01346 | 12/01/2023 | Claimant(s): Ryan Loynd
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Coastal Equities.
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | |
| 23-00598 | 09/26/2023 | Claimant(s): Aaron Gordon
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): New England Securities Corporation
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Walter Steven Schwartz, Jason Robinson, John F Mencer
Hearing Site: Phoenix, AZ
| | |
| 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
| | |
| 22-02990 | 07/25/2023 | Claimant(s): Adam Udy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Las Vegas, NV
| | |
| 17-00654 | 05/05/2023 | Claimant(s): Estate of Kenneth J. Meade
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Eric Baron, Jacob Kracht Russo
Respondent Lawyers(s): Eric Scott Baron, Jacob Steven Kracht Russo
Arbitrator(s): Allen B. Lang, Althea P. Halchuck, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | Dismissed with Rule 12702 |
