| 23-02715 | 02/15/2024 | Claimant(s): Michael Sherman, Steven Chille
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
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| 23-01445 | 02/15/2024 | Claimant(s): Jonathan Satovsky
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Financial Services, USF Securities, L.P.
Respondent Lawyers(s): CT Corporation System, Howard Klausmeier
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
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| 23-01175 | 02/13/2024 | Claimant(s): Ronan Cox
Claimant Lawyers(s): Craig Riha
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Denise L. Quarles, Donald Davis Capelin, Evan Powell
Hearing Site: New York, NY
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| 23-00501 | 02/12/2024 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Gary Demetri
Respondent Lawyers(s): Gary P. Demetri
Arbitrator(s): Annamaria Boccia Smith, Veronica Ann Williams, Marguerite Daniels
Hearing Site: New York, NY
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| 23-00900 | 02/08/2024 | Claimant(s): Mark Schrader
Claimant Lawyers(s): Craig A. Riha
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
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| 22-01486 | 02/07/2024 | Claimant(s): Joel Santucci
Claimant Lawyers(s): Marc Fitapelli
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Thomas E. Duggan, Betty Chen, Regina Waynes Joseph
Hearing Site: New York, NY
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| 22-00799 | 02/07/2024 | Claimant(s): Peter Dao
Claimant Lawyers(s): Peter Giahao Dao
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Peter J. Pizzi
Arbitrator(s): Arthur Neil Tolciss, Regina Waynes Joseph, Cynthia Kouril
Hearing Site: New York, NY
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| 23-00030 | 02/06/2024 | Claimant(s): Jean Sears
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Linda J. Baer
Hearing Site: New York, NY
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| 23-00378 | 02/05/2024 | Claimant(s): Martin Cummins
Claimant Lawyers(s): R. Zachary Gelber
Respondent(s): William Moreno, Revere Securities LLC
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s):
Hearing Site: New York, NY
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| 23-02382 | 02/05/2024 | Claimant(s): Alexander Williams, Peter Rukeyser
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Clive I. Morrick
Hearing Site: New York, NY
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