| 23-03027 | 05/24/2024 | Claimant(s): Scott Rosenberg
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Harvey E. Benjamin
Hearing Site: New York, NY
| | |
| 24-00091 | 05/24/2024 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John McGuire
Respondent(s): Zachary Taylor
Respondent Lawyers(s): Zachary Ellis Taylor
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | |
| 23-02877 | 05/23/2024 | Claimant(s): Mitchell Kramer
Claimant Lawyers(s): William Preston Martin
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Efrat Cohen
Arbitrator(s): Mauricio Arcadier
Hearing Site: Columbia, SC
| | |
| 23-01074 | 05/23/2024 | Claimant(s): Kay Klein, Roy Klein
Claimant Lawyers(s): Christopher Lufrano
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Rebecca Swenson
Arbitrator(s): Sal Presti, Gregory G. Gocek, Debra J. Tucker
Hearing Site: Chicago, IL
|  | Expungement |
| 23-02931 | 05/23/2024 | Claimant(s): James Ciocia
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Richard S. Zaifert, Jerome Blevins, Brian E. Spletzer
Hearing Site: Tampa, FL
| | |
| 23-02819 | 05/23/2024 | Claimant(s): David Hanvey
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Carolyn E. Moore
Hearing Site: Tampa, FL
| | |
| 23-00700 | 05/22/2024 | Claimant(s): John Kasel
Claimant Lawyers(s): Christopher F. Robertson
Respondent(s): KMS Financial Services., U.S. Bancorp Investments.
Respondent Lawyers(s): Briana Al Taqatqa, Records Custodian
Arbitrator(s): Katherine Hendricks, David William Hickman, Linda Dai-Fong Koa
Hearing Site: Seattle, WA
| | |
| 23-02240 | 05/22/2024 | Claimant(s): Gerard Kelly III
Claimant Lawyers(s): Craig Stein
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Steven M. Greenbaum, Layne Verebay, Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | |
| 23-00965 | 05/22/2024 | Claimant(s): Enrique Torruella
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Nancy J. Cliff
Hearing Site: San Juan, PR
| | |
| 23-02799 | 05/22/2024 | Claimant(s): Marilyn Zehntner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Rhodes Securities.
Respondent Lawyers(s): Gordon Rhodes
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
| | |
