23-01251 | 11/17/2023 | Claimant(s): Benjamin Marcano Claimant Lawyers(s): Brandon M. Taaffe Respondent(s): Wells Fargo Advisors Financial Network, UBS Financial Services Inc. Respondent Lawyers(s): Deirdre Wolff, John Murphy Arbitrator(s): Madelon M. Rosenfeld, Alice E. Winkler, Robert Morris Hearing Site: New York, NY
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23-00578 | 11/17/2023 | Claimant(s): Tim Tompkins Claimant Lawyers(s): Jonathan Kurta Respondent(s): Avantax Investment Services. Respondent Lawyers(s): Emily M. Knight Arbitrator(s): Kenneth R. Starr, Danny Lynn Ingram, Karen Bonnie Biggs Hearing Site: Raleigh, NC
| | Dismissed by Rule 12206(b) |
23-00830 | 11/17/2023 | Claimant(s): Carlos Ubinas Taylor Claimant Lawyers(s): Ubaldo M. Fernandez-Barrera 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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22-01778 | 11/17/2023 | Claimant(s): Virginia Gatlin, V. Gatlin, Ind. Exec. Glen Gatlin Estate Claimant Lawyers(s): William L. Kirkman Respondent(s): Glen Gatlin, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): David M. Pyke, Ellen Sessions Arbitrator(s): Dineo Coleman Gary, Michael Wayne Johnston, Juanita Harris Hearing Site: Dallas, TX
| | $0 |
23-00761 | 11/17/2023 | Claimant(s): Kimberley Hatchett Claimant Lawyers(s): Sandra D. Grannum Respondent(s): Morgan Stanley Respondent Lawyers(s): Andrew Joyce Arbitrator(s): Julian F. Santos, Serge Krimnus, Anthony J Casino Hearing Site: New York, NY
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23-00414 | 11/16/2023 | Claimant(s): Marc Kreisberger Claimant Lawyers(s): Brian Luther Respondent(s): Wells Fargo Investments Respondent Lawyers(s): Jeffery D. Rodgers Arbitrator(s): Randy R. Maher Hearing Site: Las Vegas, NV
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22-01845 | 11/16/2023 | Claimant(s): Xudong Cheng Claimant Lawyers(s): Paul W. Thomas Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Hannah B. Shanks-Parkin Arbitrator(s): Kenneth E. Owen, Mark Alan Sevigny, Caryl Elyse Winter Hearing Site: Los Angeles, CA
| | $0 |
23-01040 | 11/16/2023 | Claimant(s): Ann Connelly Claimant Lawyers(s): Ann M. Connelly Respondent(s): Ronald Bernheim Respondent Lawyers(s): Ronald Jack Bernheim Arbitrator(s): Robert J. Scafuri Hearing Site: Syracuse, NY
| | $425 |
22-01423 | 11/16/2023 | Claimant(s): Tradespot Markets Inc. Claimant Lawyers(s): Daniel DeSouza Respondent(s): ICARO Media Group Inc. Respondent Lawyers(s): Kennan E. Kaeder Arbitrator(s): Daniel H. Yaffe, Harvey David Cohen, Marc Ira Sinensky Hearing Site: Boca Raton, FL
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22-02939 | 11/16/2023 | Claimant(s): Xavier Aguayo Claimant Lawyers(s): Russell Del Toro Parra 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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