| 23-02410 | 07/19/2024 | Claimant(s): Angel Canabal
Claimant Lawyers(s): Russell Del Toro Parra
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Nancy J. Cliff
Hearing Site: San Juan, PR
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| 23-02554 | 07/19/2024 | Claimant(s): Robert Kieckhefer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Milwaukee, WI
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| 23-02614 | 07/19/2024 | Claimant(s): Spencer Warn
Claimant Lawyers(s): Colin D. Gerish
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Detroit, MI
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| 23-01596 | 07/19/2024 | Claimant(s): Nathan Torgerson
Claimant Lawyers(s): Christopher H Tovar
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Renee Bryna Gerstman
Hearing Site: Salt Lake City, UT
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| 23-02111 | 07/19/2024 | Claimant(s): Robert Stefanelli
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Alexander Capital, L.P.
Respondent Lawyers(s): Michele Misiti
Arbitrator(s): Alice E. Winkler, Paul Allan Massaro, Antonio Di Palma
Hearing Site: Jersey City, NJ
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| 23-01409 | 07/18/2024 | Claimant(s): Robert Rumley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Lita S. Menkin
Hearing Site: Atlanta, GA
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| 23-02896 | 07/18/2024 | Claimant(s): Thomas Charmley
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
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| 23-01325 | 07/17/2024 | Claimant(s): Charles Mather
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Truist Securities.
Respondent Lawyers(s): Paul R. Barsness
Arbitrator(s): Robert J. Kheel, Annamaria Boccia Smith, Anna M Barone
Hearing Site: New York, NY
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| 22-02399 | 07/17/2024 | Claimant(s): 2002 Alice H. Hanley Descendants' Trust, E. Nicole H. Pickett 2002 Descendants', Lee Merrill H. Curtis 2002 Descendants', SAR Trust A u/w/o William Lee Hanley Jr., The Hanley 2012 Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Nancy J. Cliff, Michael P. Schiff, Gerald H. Grayson
Hearing Site: Boca Raton, FL
|  | Expungement |
| 23-02994 | 07/17/2024 | Claimant(s): Christopher Rubano
Claimant Lawyers(s): Anthony D. Green
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Jeffrey Alan Helewitz, Carol Maria Luttati, Mark Peter Haslinger
Hearing Site: New York, NY
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