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
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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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