| 23-02727 | 07/10/2024 | Claimant(s): Aaron Clark
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Cherie S. Lewis
Hearing Site: Los Angeles, CA
| | |
| 23-00951 | 07/10/2024 | Claimant(s): Vicente Castillo
Claimant Lawyers(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
| 23-03248 | 07/09/2024 | Claimant(s): Charles Gottschalk, IRA
Claimant Lawyers(s): Lysa L. Postula-Stein
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Martin Brosnan
Hearing Site: Detroit, MI
|  | Dismissed by Rule 12206 |
| 23-03035 | 07/09/2024 | Claimant(s): Curt Caserta, Lee Duckworth, Peter Alofsin
Claimant Lawyers(s): Eric A. Bensky
Respondent(s): Triad Advisors LLC, Kestra Investment Services
Respondent Lawyers(s): Jennifer R. Cox, Lydia R. Zaidman
Arbitrator(s): Maya Steinitz
Hearing Site: Providence, RI
| | |
| 22-01619 | 07/08/2024 | Claimant(s): Dana Cohen, Jerome Cohen, The Estate of Jeffrey Cohen, The Ronni Cohen Trust
Claimant Lawyers(s): Coren H. Stern
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): Will Murphy, Barry David Thorpe, Noah David Rubin
Hearing Site: Boca Raton, FL
| | $643,992 |
| 22-02752 | 07/08/2024 | Claimant(s): Daniel Cornell
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): David S. Billet, David John Reilly, Donald Francese
Hearing Site: New York, NY
| | |
| 17-02682 | 07/08/2024 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Michael Paesano
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Aubrey Lees, Howard Alan Grinsberg, Julia Kunina-Malladi
Hearing Site: New York, NY
| | |
| 23-02310 | 07/08/2024 | Claimant(s): Michael Mcgregor
Claimant Lawyers(s): Harris Freedman
Respondent(s): Harrison Douglas.
Respondent Lawyers(s): Doouglas W. Schriner
Arbitrator(s): Adam Michael Porter
Hearing Site: Denver, CO
| | |
| 23-02957 | 07/08/2024 | Claimant(s): Brian Bernhardt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
| | |
| 23-02811 | 07/05/2024 | Claimant(s): Lisa Mantei
Claimant Lawyers(s): Anthony Paduano
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael J Carey
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Columbia, SC
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