22-02907 | 11/30/2023 | Claimant(s): Shailesh Negandhi Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John B. Clark Arbitrator(s): Ross B. Russell Hearing Site: Dallas, TX
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22-02303 | 11/30/2023 | Claimant(s): Whelan Advisory Capital Markets, Whelan Advisory Claimant Lawyers(s): Roger E. Barton Respondent(s): HomeSource Operations Respondent Lawyers(s): Brian J. Capitummino Arbitrator(s): Robert Neal Hunter, David F. Simon, John Gorman Hearing Site: New York, NY
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23-00084 | 11/30/2023 | Claimant(s): Frank Palumbo Claimant Lawyers(s): Thomas McEvoy Respondent(s): American Capital Partners, Sanders Morris Harris LLC Respondent Lawyers(s): John Gardini, Steve Mangold Arbitrator(s): Richard W. Cutler Hearing Site: New York, NY
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22-02499 | 11/30/2023 | Claimant(s): Arnold Key, Stephanie Hicks, Susan Tilley, Michael Atkins, Frances Atkins' Estate, Stephanie Hicks IRA Claimant Lawyers(s): Matt E. Wolper Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): William E. Mahoney Arbitrator(s): C Marcus Harris, Richard H. Potter, John Russell Barlow Hearing Site: Charlotte, NC
| | $0 |
23-01508 | 11/30/2023 | Claimant(s): James Immekus Claimant Lawyers(s): James E. Immekus Respondent(s): LPL Financial LLC, James Monteverde Respondent Lawyers(s): Thomas F. Barnett Arbitrator(s): Robert J. Scafuri, Jacqueline R. Fox, David M. Panko Hearing Site: Pittsburgh, PA
| | Dismissed by Rule 12206 |
22-00317 | 11/29/2023 | Claimant(s): Yimin Luo Claimant Lawyers(s): Mark Hostetter Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Bryce M. Cullinane Arbitrator(s): David M. Achterkirchen, Alden Sharp Adkins, Bruce J Highman Hearing Site: San Francisco, CA
| | $0 |
23-01318 | 11/29/2023 | Claimant(s): Michael Stewart Claimant Lawyers(s): Harris Freedman Respondent(s): Fifth Third Securities. Respondent Lawyers(s): R. Samuel Gilley Arbitrator(s): Gregory G. Gocek Hearing Site: Chicago, IL
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23-01017 | 11/29/2023 | Claimant(s): Deanne Schlarbaum Claimant Lawyers(s): Darwin Bunger Respondent(s): Principal Securities. Respondent Lawyers(s): Kathryn Roe Eldridge Arbitrator(s): Mark A. Frankel Hearing Site: Des Moines, IA
| | $0 |
22-02651 | 11/29/2023 | Claimant(s): William Garity Medina 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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23-01063 | 11/29/2023 | Claimant(s): Jeffrey Zapoleon Claimant Lawyers(s): Curtis Carlson Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Theodore R. Bynum Arbitrator(s): Steven R. Reininger, Louis David Huss, Michael Mazor Hearing Site: Boca Raton, FL
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