23-00743 | 11/20/2023 | Claimant(s): Yang Nie Claimant Lawyers(s): Everett Pritchard Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jason E. Murtagh Arbitrator(s): Edith N. Dinneen Hearing Site: Los Angeles, CA
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23-00701 | 11/20/2023 | Claimant(s): Marc Basist Claimant Lawyers(s): Adam Gana Respondent(s): Questar Capital Corporation Respondent Lawyers(s): Heidi E. VonderHeide Arbitrator(s): John James McGovern Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12206(b) |
23-01216 | 11/20/2023 | Claimant(s): James Cipriotti Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Hornor, Townsend & Kent. Respondent Lawyers(s): Paula D. Shaffner Arbitrator(s): Louis P. Wagman Hearing Site: Philadelphia, PA
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22-01838 | 11/20/2023 | Claimant(s): Harvey Silver, The Estate of Gladys Silver Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): E*Trade Securities LLC, TD Ameritrade. Respondent Lawyers(s): Frank J. Cuccio, Joseph E. Floren Arbitrator(s): Elizabeth Gilbert, Edward W. Morris, John Franklin Udochi Hearing Site: New York, NY
| | $440 |
22-02253 | 11/20/2023 | Claimant(s): Brian Stephens Claimant Lawyers(s): Gary S. Kessler Respondent(s): Avantax Investment Services. Respondent Lawyers(s): Judith Knudsen Arbitrator(s): Michael Edward Watts, Robert C. Rice, Kevin Colby Hearing Site: Houston, TX
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23-00958 | 11/20/2023 | Claimant(s): Victor Tomassini 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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23-01064 | 11/20/2023 | Claimant(s): Carlos Ubinas Taylor Claimant Lawyers(s): Ubaldo M. Fernandez-Barrera Respondent(s): UBS Financial Services Inc. Of PR Respondent Lawyers(s): Rey F. Medina Velez Arbitrator(s): Martin A. Feigenbaum Hearing Site: San Juan, PR
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23-00234 | 11/17/2023 | Claimant(s): Jeanne Mount Claimant Lawyers(s): Jeanne Mount Respondent(s): Brooke Spicer, Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): Mary M. O'Neil, Kendall C. Reed, Maxx O Brawer Hearing Site: Los Angeles, CA
| | $0 |
23-02033 | 11/17/2023 | Claimant(s): Charles Reimer Claimant Lawyers(s): James P. Galvin Respondent(s): Citizens Securities. Respondent Lawyers(s): Stuart D. Roberts Arbitrator(s): Thomas E Kopil, Arthur Traldi, Michael Daniel Lamm Hearing Site: Philadelphia, PA
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23-01356 | 11/17/2023 | Claimant(s): Craig Accardo Claimant Lawyers(s): Jennifer P. Farrar Respondent(s): FSC Securities Corporation Respondent Lawyers(s): James V. Noblett Arbitrator(s): Robert H. Putnam Hearing Site: New Orleans, LA
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