23-02858 | 06/14/2024 | Claimant(s): Amy Duncan Claimant Lawyers(s): Peter Lindholm Respondent(s): Moloney Securities Co.. Respondent Lawyers(s): Matthew D. Turner Arbitrator(s): Adam Michael Porter Hearing Site: Denver, CO
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23-01752 | 06/14/2024 | Claimant(s): Steven Smith Claimant Lawyers(s): Scott L. Silver Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Geoff Beckham Arbitrator(s): Joyce L. Hurley, Dana L. Bigman, Anita Rae Shapiro Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
22-02017 | 06/14/2024 | Claimant(s): Maria Torruella Claimant Lawyers(s): Roberto C Quinones Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina Arbitrator(s): Stuart K. Furman Hearing Site: San Juan, PR
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23-02852 | 06/14/2024 | Claimant(s): Kevin Kingston Claimant Lawyers(s): Peter Lindholm Respondent(s): Mutual Service Corporation, Valmark Securities. Respondent Lawyers(s): David Freniere, Neil D. Petkovic Arbitrator(s): Theodore W. Wrobleski Hearing Site: Chicago, IL
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23-01209 | 06/14/2024 | Claimant(s): Michael Lastihenos Claimant Lawyers(s): Craig A. Riha Respondent(s): Obsidian Financial Group Respondent Lawyers(s): Kevin Sharma Arbitrator(s): Lynne M. Reid-McQueen, Richard E. Castiglioni, Brenda Hinton-Miller Hearing Site: New York, NY
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23-02962 | 06/14/2024 | Claimant(s): Michael McFeeley Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): Lincoln Financial Advisors Corporation Respondent Lawyers(s): Richard E Ramirez Arbitrator(s): Thomas J. Dolina Hearing Site: Baltimore, MD
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23-01334 | 06/14/2024 | Claimant(s): Brandon Bowman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Cetera Advisors LLC Respondent Lawyers(s): David Feldstein Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX
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23-03263 | 06/14/2024 | Claimant(s): Michael O'keefe Claimant Lawyers(s): Jenice L. Malecki Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Alice E. Winkler Hearing Site: Jersey City, NJ
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23-02849 | 06/14/2024 | Claimant(s): Gordon Davis Claimant Lawyers(s): Nathan W. Lamb Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Richard S. Zaifert Hearing Site: Raleigh, NC
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23-00494 | 06/13/2024 | Claimant(s): Ricardo Eboli-Kodesh Claimant Lawyers(s): Roberto C. Quinones-Rivera 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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