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