22-00120 | 11/16/2023 | Claimant(s): Shirley Karcher, The Amended and Restated Trust Agreement, The Edbert A. Karcher Irrevocable Mari Claimant Lawyers(s): Ashlie Case Sletvold Respondent(s): J.W. Cole Financial. Respondent Lawyers(s): Brian P. Nally Arbitrator(s): Gary B. Deutsch, David Minc, David N Brown Hearing Site: Cleveland, OH
| | $135,000 |
23-01708 | 11/16/2023 | Claimant(s): Kelly Morris Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Kelsey Vasko Arbitrator(s): Erik R. Siering Hearing Site: San Diego, CA
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23-01044 | 11/16/2023 | Claimant(s): Michael Mc Conachie Claimant Lawyers(s): Michael E. Rowe Respondent(s): MML Investors Services Respondent Lawyers(s): Julie E. Ravis Arbitrator(s): Leo G. Stern Hearing Site: Minneapolis, MN
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22-02413 | 11/16/2023 | Claimant(s): William Serralles Claimant Lawyers(s): Roberto C. Quinones-Rivera 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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23-00597 | 11/16/2023 | Claimant(s): Noah Doyle Claimant Lawyers(s): Harris Freedman Respondent(s): Morgan Stanley Respondent Lawyers(s): Abigail D. Elrod Arbitrator(s): John Franklin Udochi Hearing Site: New York, NY
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22-02603 | 11/16/2023 | Claimant(s): Karen Vargas Claimant Lawyers(s): Roberto C Quinones Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina Velez Arbitrator(s): Christopher J. Klein Hearing Site: San Juan, PR
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22-02085 | 11/15/2023 | Claimant(s): Martin Lorenzen Claimant Lawyers(s): Andrew Stoltmann Respondent(s): David Morris Respondent Lawyers(s): David Jeffrey Morris Arbitrator(s): Raymond P. Buschmann Hearing Site: Chicago, IL
| | $100,000 |
23-00865 | 11/15/2023 | Claimant(s): Gery Sadzewicz Claimant Lawyers(s): Barry P. Kaltenbach Respondent(s): CIBC World Markets Corp. Respondent Lawyers(s): Elizabeth R. Aylett Arbitrator(s): Raymond P. Buschmann, Sally J. Wiggins, Jacob Gorr Hearing Site: Chicago, IL
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23-01826 | 11/15/2023 | Claimant(s): Michael West Claimant Lawyers(s): Michael West Respondent(s): Charles Schwab & Co.., Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Greg Scanlon, Randi P. Spallina Arbitrator(s): Mary M. O'Neil Hearing Site: Los Angeles, CA
| | $300 |
23-00351 | 11/15/2023 | Claimant(s): James Laneave Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Synergy Investment Group Respondent Lawyers(s): Ryan Duffie Arbitrator(s): Jim Geiger, Jonathan S. Alcaro, Marcus G. Lashley Hearing Site: Richmond, VA
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