| 23-00483 | 09/11/2023 | Claimant(s): Andrei Hall
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
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| 23-01205 | 09/11/2023 | Claimant(s): Patrick Cree
Claimant Lawyers(s): Patrick H Cree
Respondent(s): Capital Growth Resources
Respondent Lawyers(s): Walter Miller
Arbitrator(s): Kelly A. Barker, Mitchell Lee Lathrop, Loyd A Wright
Hearing Site: San Diego, CA
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| 23-00029 | 09/08/2023 | Claimant(s): Hector Gonzalez
Claimant Lawyers(s): Linette Figueroa-Torres
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
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| 22-02696 | 09/08/2023 | Claimant(s): Richard Reynolds
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Gruntal & Co., L.L.C., Rockwell Global Capital LLC
Respondent Lawyers(s): Bruce Guarino, Donald N. Cohen
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
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| 22-02251 | 09/08/2023 | Claimant(s): Angel Canabal
Claimant Lawyers(s): Roberto C. Quinones
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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| 22-02660 | 09/08/2023 | Claimant(s): Jacob Williams
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Joseph Winter, Anita Teresa Hayden, Jonathan Gartner
Hearing Site: Los Angeles, CA
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| 23-00770 | 09/08/2023 | Claimant(s): AIStorm.
Claimant Lawyers(s): Robert J. Barker
Respondent(s): Citigroup Global Markets., Shannon Koffman
Respondent Lawyers(s): Ellen M. Murphy
Arbitrator(s): Robert C. Rice
Hearing Site: Houston, TX
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| 22-00858 | 09/07/2023 | Claimant(s): Ruochen Zhou
Claimant Lawyers(s): Gary Trachten
Respondent(s): Millennium Advisors, Millennium Consolidated Holdings
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Chase Boone Saunders, James Hugh Williams, Daniel F. Piar
Hearing Site: Charlotte, NC
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| 23-00162 | 09/07/2023 | Claimant(s): Joseph Ferron
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): FFP Securities., Veravest Investments.
Respondent Lawyers(s): Donna Lawson, Mark H. Stepakoff
Arbitrator(s): Lewis S. Kurlantzick, Michael A. Orticelle, John Thomas Shaban
Hearing Site: Hartford, CT
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| 22-02605 | 09/06/2023 | Claimant(s): Carlos Pou
Claimant Lawyers(s): Leslie Y 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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