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