| 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
|  | Expungement |
| 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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