| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
