22-00041 | 06/15/2023 | Claimant(s): James Devary Claimant Lawyers(s): Orit Goldring Respondent(s): National Securities Corporation, Forte Capital Group. Respondent Lawyers(s): Seth N. Bursky, Steven E. Mellen Arbitrator(s): Louis M. Parker, Marcia A. Herrmann, Renee Bryna Gerstman Hearing Site: Phoenix, AZ
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23-00225 | 06/15/2023 | Claimant(s): Eric Yamin Claimant Lawyers(s): David E. Robbins Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Madelyn A. Levy, Edward W. Morris, Gerald M. Levine Hearing Site: New York, NY
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22-02404 | 06/14/2023 | Claimant(s): Kimberlee Orth Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Morton S. Bunis Hearing Site: Wilmington, DE
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22-02626 | 06/14/2023 | Claimant(s): Benton Lacy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): BBVA Compass Investment Solutions. Respondent Lawyers(s): Katie M. Kimbrell Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX
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19-01431 | 06/14/2023 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp. Claimant Lawyers(s): James L. Komie Respondent(s): Robert Cohen Respondent Lawyers(s): David A. Gehn Arbitrator(s): Mark Hammaren, Thomas M. Madden, Melinda George-Bristol Hearing Site: New York, NY
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22-02673 | 06/14/2023 | Claimant(s): Jenna Farah-Fimbres Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Benjamin F. Breslauer Hearing Site: Phoenix, AZ
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22-02007 | 06/14/2023 | Claimant(s): David Hammer Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Jeffrey Alan Helewitz, William Travis, Kevin K Walsh Hearing Site: Jersey City, NJ
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22-02659 | 06/13/2023 | Claimant(s): Chenguttuvan Surendran Claimant Lawyers(s): James P. Galvin Respondent(s): Continental Broker-Dealer Corp. Respondent Lawyers(s): Sue Zouky Arbitrator(s): Susanne J. Hollander, James Hofheimer, Jean Jacques Kande Hearing Site: Chicago, IL
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22-01826 | 06/13/2023 | Claimant(s): Charles Bolianites Claimant Lawyers(s): Jonathan R. Voegele Respondent(s): Steven Busto, PHX Financial. Respondent Lawyers(s): Michael P. Gilmore Arbitrator(s): Linda J. Baer Hearing Site: Manchester, NH
| | $9,938 |
22-00220 | 06/13/2023 | Claimant(s): Dena Tucker, Estate of Robert P. Tucker Claimant Lawyers(s): Joseph A. Hourihan Respondent(s): Jesse Fable, UBS Financial Services Inc. Respondent Lawyers(s): Anthony J. Borrelli Arbitrator(s): Thomas M. Madden Hearing Site: Hartford, CT
| | $0 |