| 21-00534 | 03/16/2022 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Richard Louis
Respondent Lawyers(s): Richard Pierre Louis
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Atlanta, GA
|  | $0 |
| 19-01254 | 03/16/2022 | Claimant(s): Alexander Garrett
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Elizabeth E. Moum
Arbitrator(s): Harvey R. Linder, Saundra M Clark, Garrett W. Murphy
Hearing Site: Atlanta, GA
| | |
| 21-01874 | 03/16/2022 | Claimant(s): Javier Garcia
Claimant Lawyers(s): Javier Garcia
Respondent(s): UBS International Inc.
Respondent Lawyers(s): John B. Clark
Arbitrator(s): William Kent Brown, Virginia Lee Perez-Berry, Scott Joseph Pagano
Hearing Site: Boca Raton, FL
| | |
| 21-01933 | 03/16/2022 | Claimant(s): Aubrey Rosser III
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Richard P. Regan
Hearing Site: Washington, DC
| | |
| 21-02413 | 03/16/2022 | Claimant(s): Sonia Pou Monagas
Claimant Lawyers(s): Roberto C Quinones-Rivera
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Elena G. Rodriguez
Hearing Site: San Juan, PR
| | |
| 21-01425 | 03/16/2022 | Claimant(s): Gary Zimmerman
Claimant Lawyers(s): Bryan T. Forman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Dallas, TX
| | $86,000 |
| 21-02577 | 03/16/2022 | Claimant(s): John Eversgerd, Viktor Prozapas, Ettinger Family Trust
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Lawrence Fawcett, Shawn Burns
Respondent Lawyers(s): Lawrence John Fawcett, Shawn Evan Burns
Arbitrator(s): Rory M. McLaughlin
Hearing Site: New York, NY
| | $732,617 |
| 21-01726 | 03/15/2022 | Claimant(s): Angel Canabal
Claimant Lawyers(s): Russell Del Toro Parra
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
| | |
| 21-01771 | 03/15/2022 | Claimant(s): Glenn Fischer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): William F. Etherington
Hearing Site: Richmond, VA
| | |
| 21-02023 | 03/15/2022 | Claimant(s): Steven Mctaggart
Claimant Lawyers(s): John D. Stewart
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn Perreault
Arbitrator(s): Langfred W. White
Hearing Site: Tampa, FL
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