| 23-03626 | 09/25/2024 | Claimant(s): Scott Royal
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene
Arbitrator(s): Wesley C. Wilson, Tina E. Patterson, Nanci Sondra Landy
Hearing Site: Omaha, NE
| | |
| 23-02671 | 09/25/2024 | Claimant(s): Jeffrey McDonald
Claimant Lawyers(s): Craig Riha
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Nicholas John Taldone, Shanida De Gracia, John Arthur Riherd
Hearing Site: Tampa, FL
| | |
| 23-02443 | 09/24/2024 | Claimant(s): Tamera (Tammy) Elkon
Claimant Lawyers(s): Tamera (Tammy) Elkon
Respondent(s): Erin Hooten, James Flynn, Farmers Financial Solutions
Respondent Lawyers(s): Edwin Barkel, Jeff Nicodemus
Arbitrator(s): Arthur H. Geffen, James E. Lane, Lawrence Frederick Ranallo
Hearing Site: Dallas, TX
|  | Expungement |
| 23-00729 | 09/24/2024 | Claimant(s): Christopher Scalese
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Summit Brokerage Service., Kestra Investment Services, Midsouth Capital.
Respondent Lawyers(s): David Feldstein, Lydia R. Zaidman, Ronald J. Bateh
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
| | |
| 23-01863 | 09/24/2024 | Claimant(s): Johanna Trujillo
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Douglas F. Stone, Daniel Robbins, Steven Landis
Hearing Site: New York, NY
| | |
| 24-00878 | 09/24/2024 | Claimant(s): Monica Villarreal
Claimant Lawyers(s): Monica Daniela Villarreal
Respondent(s): BBVA Securities Inc.
Respondent Lawyers(s): Katie Kimbrell
Arbitrator(s): Mitchell Lee Lathrop, Jason E. Murtagh, Cynthia Helene Cwik
Hearing Site: San Diego, CA
| | |
| 23-01188 | 09/23/2024 | Claimant(s): Winifred Botkin, Winifred Botkin Trust
Claimant Lawyers(s): Janis Jannusch
Respondent(s): Stephen Sperling, Wintrust Investments LLC
Respondent Lawyers(s): Melvin G. Moseley
Arbitrator(s): Daniel R. Formeller
Hearing Site: Chicago, IL
| | Expungement |
| 23-02945 | 09/23/2024 | Claimant(s): William Lapiana
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Robert Abrams
Arbitrator(s): Bryan Lane Berson, Andrew Ireland, Sandra Wilson
Hearing Site: New York, NY
| | |
| 23-02774 | 09/23/2024 | Claimant(s): Andrew Tressler
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): GunnAllen Financial, Continental Broker-Dealer Corp., Trident Partners Ltd.
Respondent Lawyers(s): Deborah Anne Williams, Michael Clements, Nicholas Scavone
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 23-03001 | 09/20/2024 | Claimant(s): Rey Medina-Velez
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Russell Del Toro Parra, III
Arbitrator(s): Nancy J. Cliff
Hearing Site: San Juan, PR
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