23-00986 | 09/27/2023 | Claimant(s): Philip Bradshaw Claimant Lawyers(s): Katherine S. Bowles Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Daryl S. Landy Arbitrator(s): Mitchell Lee Lathrop Hearing Site: San Diego, CA
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23-00598 | 09/26/2023 | Claimant(s): Aaron Gordon Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): New England Securities Corporation Respondent Lawyers(s): Martin Harris Arbitrator(s): Walter Steven Schwartz, Jason Robinson, John F Mencer Hearing Site: Phoenix, AZ
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23-00098 | 09/25/2023 | Claimant(s): James Richardson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): Eric Ross Cromartie Hearing Site: Dallas, TX
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22-02861 | 09/25/2023 | Claimant(s): Karen Hoy Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Tracy L. Allen Hearing Site: Cleveland, OH
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23-00584 | 09/25/2023 | Claimant(s): Rohin Ullberg Claimant Lawyers(s): Dochtor Kennedy Respondent(s): SII Investments. Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Michael F. Jordan Hearing Site: Chicago, IL
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23-00207 | 09/22/2023 | Claimant(s): Roger Follis Claimant Lawyers(s): Tosh Grebenik Respondent(s): Robertson Stephens. Respondent Lawyers(s): Vincent V. Mulcahy Arbitrator(s): Thomas Arthur Cohen Hearing Site: San Francisco, CA
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23-00219 | 09/22/2023 | Claimant(s): Joseph Gileno Claimant Lawyers(s): Craig A. Riha Respondent(s): National Securities Corporation Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): Jill Pilgrim, Adam B. Lass, Elena Fast Hearing Site: New York, NY
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22-02274 | 09/22/2023 | Claimant(s): David Rojas Claimant Lawyers(s): Roberto C. Quinones-Rivera 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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23-00325 | 09/22/2023 | Claimant(s): Alexander Soifer Claimant Lawyers(s): Alexander Nation Soifer Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Kirtley M. Thiesmeyer, Thomas James Norman, Robert D. Coviello Hearing Site: Los Angeles, CA
| | $17,300 |
23-01269 | 09/22/2023 | Claimant(s): Calena Terry Claimant Lawyers(s): Calena Terry Respondent(s): Truist Investment Services., Paula Allen Respondent Lawyers(s): Frederick S. Schrils Arbitrator(s): Michael S. Matek Hearing Site: Chicago, IL
| | $0 |