22-02758 | 06/28/2023 | Claimant(s): Spartan Capital Securities Claimant Lawyers(s): Robert I. Rabinowitz Respondent(s): Albert Foronda Respondent Lawyers(s): Albert Foronda Arbitrator(s): Arthur Neil Tolciss Hearing Site: New York, NY
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22-01475 | 06/27/2023 | Claimant(s): Thomas Pollock Claimant Lawyers(s): Robert L. Herskovits Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Laurie A. Perez Arbitrator(s): Mark A Bilawsky Hearing Site: Boca Raton, FL
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22-02232 | 06/27/2023 | Claimant(s): Sonia Pou Monagas 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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23-00249 | 06/27/2023 | Claimant(s): Brian Demere Claimant Lawyers(s): Brian Bennett Demere Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): Edwin J. Buckley Hearing Site: Atlanta, GA
| | $2,102 |
22-01156 | 06/26/2023 | Claimant(s): Kevin Ho Claimant Lawyers(s): Jeffrey A. Feldman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jason E. Murtagh Arbitrator(s): Arocles Aguilar Hearing Site: San Francisco, CA
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22-01980 | 06/26/2023 | Claimant(s): Christopher Dame Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Royal Alliance Associates. Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Steven Meyrich Hearing Site: Salt Lake City, UT
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22-01828 | 06/26/2023 | Claimant(s): Robert Gooden, Tonya Gooden Claimant Lawyers(s): Tonya M. Gooden Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Michael J. Ahlstrom, Cassandra Kimberly Ward, Shaquana Ellison Hearing Site: Atlanta, GA
| | Dissmissed by Rule 12206 |
22-00492 | 06/26/2023 | Claimant(s): Annmarie Ryan Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Jonathan M. Sterling Arbitrator(s): Tracy L. Allen Hearing Site: Detroit, MI
| | Expungement |
21-02075 | 06/26/2023 | Claimant(s): Bernard Audet Claimant Lawyers(s): Matthew R. Major Respondent(s): New England Securities Corporation Respondent Lawyers(s): Martin Harris Arbitrator(s): Alan M. Schankel, John James McGovern, Robin L. Lewis Hearing Site: Philadelphia, PA
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21-01442 | 06/26/2023 | Claimant(s): Jose Roberto Robles Gonzalez and Claimant Lawyers(s): David R. Chase Respondent(s): Ocean Financial Services Respondent Lawyers(s): Kathy M. Klock Arbitrator(s): Mark C. Perry, Steven N. Ainbinder, Gary Mathew Singer Hearing Site: Boca Raton, FL
| | Expungement |