| 23-02308 | 12/04/2023 | Claimant(s): Eric Wittenberg
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
| | |
| 23-00052 | 12/04/2023 | Claimant(s): Wallace Suku
Claimant Lawyers(s): Wallace W. Suku
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Richard E. Lauziere, Peter H. Goldberg, Ronald Kalungi
Hearing Site: Washington, DC
|  | $0 |
| 19-02039 | 12/04/2023 | Claimant(s): Gables Capital Management.
Claimant Lawyers(s): Jeffrey T. Foreman
Respondent(s): Aaron Lupuloff, Stifel, Nicolaus & Co.., Jandra Lubovich, Jon Cooper, INTL FCStone Financial.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Barth Satuloff, Paul B. Glantz, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | Expungement |
| 23-01486 | 12/01/2023 | Claimant(s): Michael Peters
Claimant Lawyers(s): William Bean
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Kevin W. Brooks
Arbitrator(s): Charles A. Palmer
Hearing Site: Buffalo, NY
| | |
| 22-02579 | 12/01/2023 | Claimant(s): Angel Canabal
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
| 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
| | |
| 22-01818 | 12/01/2023 | Claimant(s): Gerald Bruns, Sandra Bruns
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Gregory Hunter Mathews, Jason L Pearlman, Sharon Beth Eckstein
Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12206 |
| 23-00396 | 12/01/2023 | Claimant(s): Michael Lastihenos
Claimant Lawyers(s): Craig A. Riha
Respondent(s): Wilmington Capital Securities
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Ted M. Rosen, Richard E. Castiglioni, Tychelle Dephroneicia McLaurin
Hearing Site: New York, NY
| | |
| 22-02864 | 11/30/2023 | Claimant(s): Angel Canabal
Claimant Lawyers(s): Russell Del Toro Parra
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
| | |
| 23-02231 | 11/30/2023 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michelle M. Wezner
Respondent(s): Jason Pirnie
Respondent Lawyers(s): Jason Pirnie
Arbitrator(s): Gail Sillman
Hearing Site: Boston, MA
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