22-01600 | 05/19/2023 | Claimant(s): Carlos Pou Claimant Lawyers(s): Roberto Quinones Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina Velez Arbitrator(s): Barth Satuloff Hearing Site: San Juan, PR
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22-01303 | 05/19/2023 | Claimant(s): Kimberly Barentsen Claimant Lawyers(s): Jeffrey K. Compton Respondent(s): First Allied Securities., NPB Financial Group Respondent Lawyers(s): Jeremy Wooden, Shirley J. Coria Arbitrator(s): Philip Aaron Tymon, Nancy Lynne Williamson, Wendy L Schmidt Hearing Site: San Francisco, CA
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22-00545 | 05/19/2023 | Claimant(s): Maurice Wilde Claimant Lawyers(s): Maurice C. Wilde Respondent(s): Barry Sommers, Daniel Tumba, George Acevedo, J.P. Morgan Securities, Ian Fidler, Jamie Dimon, Mark LaRoe, Ricardo Penafiel, Salvatore Tiano, JPMorgan Distribution Services. Respondent Lawyers(s): Jeffrey S. Dunlap Arbitrator(s): Seth L. Finkel, Lucie L. Sabella, Pansy Mullings Hearing Site: Boca Raton, FL
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21-01534 | 05/18/2023 | Claimant(s): Raymond Potter Claimant Lawyers(s): Kevin T. Hoffman Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): Lloyd S. Clareman Arbitrator(s): Leslie Ruth Nydick, Thomas M. Madden, Rick Rutman Hearing Site: New York, NY
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22-00519 | 05/18/2023 | Claimant(s): Michael Herman Claimant Lawyers(s): Martin M. Berliner Respondent(s): Securities America., Hunter Wyckoff, Matthew Cloutier, Michael Baum, Mutual of Omaha Investor Services. Respondent Lawyers(s): Derek C. Anderson, Gregory M. Curley, Martin M. Berliner, Trenten P. Bausch Arbitrator(s): Steven M. Feder, Mary C. Davis, K. Bruce Lang Hearing Site: Denver, CO
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22-02412 | 05/18/2023 | Claimant(s): Raymond James Financial Services. Claimant Lawyers(s): Bruce W. Barnes Respondent(s): DeVere Dudley Respondent Lawyers(s): DeVere Scott Dudley Arbitrator(s): James F. Zotter Hearing Site: Seattle, WA
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22-01713 | 05/18/2023 | Claimant(s): Steven Zhou Claimant Lawyers(s): Samantha Pastor Respondent(s): JMP Securities LLC Respondent Lawyers(s): Andrew R. Livingston Arbitrator(s): Mary Margaret Bush Hearing Site: San Francisco, CA
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22-02739 | 05/18/2023 | Claimant(s): Michael Orr Claimant Lawyers(s): Michael Orr Respondent(s): Laurence Allen, Michael Schunk, Nyppex Respondent Lawyers(s): Jonathan E. Neuman Arbitrator(s): Eugene G. P. Byrne Hearing Site: New York, NY
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20-03955 | 05/17/2023 | Claimant(s): Isabelita Wijangco, Isabelita Wijangco IRA, Isabelita Wijangco Revocable Trust Claimant Lawyers(s): Michael A. Valenti Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Niels P. Murphy Arbitrator(s): Richard W. Dissen Hearing Site: Louisville, KY
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22-02677 | 05/17/2023 | Claimant(s): Spartan Capital Securities Claimant Lawyers(s): Robert I. Rabinowitz Respondent(s): Joseph Desapio Respondent Lawyers(s): Joseph C. Desapio Arbitrator(s): Judith C. Zerden Hearing Site: New York, NY
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