| 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
| | |
| 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
| | |
| 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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