| 22-01269 | 11/08/2022 | Claimant(s): Ramon Domenech
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
| | |
| 22-01726 | 11/08/2022 | Claimant(s): Brent Lane
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
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| 20-02368 | 11/08/2022 | Claimant(s): Helen Shelly, Jerry Shelly
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Arkadios Capital, Triad Advisors LLC
Respondent Lawyers(s): Greg Curley, Peter B. King
Arbitrator(s): Michael J. Ahlstrom, Stuart K. Furman, Bernadette F. Rasmussen
Hearing Site: Columbia, SC
|  | Expungement |
| 22-00834 | 11/07/2022 | Claimant(s): Aspiration Financial LLC
Claimant Lawyers(s): Andrew J. Melnick
Respondent(s): David Flores
Respondent Lawyers(s): David Flores
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | $0 |
| 21-01761 | 11/07/2022 | Claimant(s): Carlos Legaspy
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Insight Securities.
Respondent Lawyers(s): James Gaafar
Arbitrator(s): Lawrence W. Arness, Marilee Roberg, Seymour Andrew Newman
Hearing Site: Chicago, IL
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| 21-02393 | 11/07/2022 | Claimant(s): Jerry Mathew
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Patricia M. Bottoms, Ronald G. Guida, Gregory G. Gocek
Hearing Site: Denver, CO
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| 22-00167 | 11/07/2022 | Claimant(s): John Schmidt
Claimant Lawyers(s): John Gregory Schmidt
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Stephen P. Calardo, Gary B. Deutsch, Joseph Patrick Cottingham
Hearing Site: Cincinnati, OH
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| 22-00249 | 11/07/2022 | Claimant(s): Kyle Dunning
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Dain Rauscher Incorporated
Respondent Lawyers(s): Leyla Bari
Arbitrator(s): Katherine Hendricks
Hearing Site: Portland, OR
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| 22-00414 | 11/07/2022 | Claimant(s): Kenneth South
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Mario H. Metzger, Michael Harrison, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
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| 22-00556 | 11/07/2022 | Claimant(s): Michael Patti
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Raleigh, NC
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