23-01599 | 10/24/2023 | Claimant(s): Barbara Fluetsch Claimant Lawyers(s): Barbara A. Fluetsch Respondent(s): Interactive Brokers LLC Respondent Lawyers(s): Jovalin Dedaj Arbitrator(s): Kirtley M. Thiesmeyer Hearing Site: San Diego, CA
| | $300 |
22-02024 | 10/24/2023 | Claimant(s): Scott Parker, Sharon Parker Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Charlotte S. Wolfe Arbitrator(s): Sherry R. Wetsch, Lynne M. Gomez, Ashika S Brinkley Hearing Site: Houston, TX
| | Expungement |
22-02011 | 10/24/2023 | Claimant(s): Qwikt Global Securities LLC Claimant Lawyers(s): Robert Maguire Respondent(s): Apex Clearing Corporation Respondent Lawyers(s): Jonathan D. Neerman Arbitrator(s): Rosemary Rachael, Michele N. O'Brien, Mary O'Connor Hearing Site: Dallas, TX
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23-01679 | 10/23/2023 | Claimant(s): Richard Davidson Claimant Lawyers(s): Jeffrey A. Feldman Respondent(s): Steven Hirata Respondent Lawyers(s): Steven Kiyoto Hirata Arbitrator(s): David I. Levine Hearing Site: San Francisco, CA
| | $984,600 |
23-01583 | 10/20/2023 | Claimant(s): Mariano Tancredi Claimant Lawyers(s): Mariano Tancredi Respondent(s): Andreas Wochtl, Wells Fargo Clearing Services Respondent Lawyers(s): Jason Kempf Arbitrator(s): Guillermo L. Bosch Hearing Site: Philadelphia, PA
| | $5,075 |
23-00046 | 10/20/2023 | Claimant(s): Anita Brennan, Marina Tudela Claimant Lawyers(s): Leslie Flores Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina Velez Arbitrator(s): Louis David Huss Hearing Site: San Juan, PR
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22-02940 | 10/20/2023 | Claimant(s): Jose Chaves Claimant Lawyers(s): Russell Del Toro Parra Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina Velez Arbitrator(s): Louis David Huss Hearing Site: San Juan, PR
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22-02424 | 10/20/2023 | Claimant(s): Michael Norton Claimant Lawyers(s): Stephan Louviere Respondent(s): Lincoln Financial Distributors. Respondent Lawyers(s): Dustin J. Tirpak Arbitrator(s): Guillermo L. Bosch Hearing Site: Philadelphia, PA
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22-02920 | 10/20/2023 | Claimant(s): Shailesh Negandhi Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Frances Johnson Wright Hearing Site: Dallas, TX
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23-01687 | 10/20/2023 | Claimant(s): Tiffiney Brittingham Claimant Lawyers(s): Tiffiney Taylor Brittingham Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Greg Scanlon Arbitrator(s): Michael J. Ahlstrom Hearing Site: Birmingham, AL
| | $0 |