| 23-02761 | 05/21/2024 | Claimant(s): Joseph Diorio
Claimant Lawyers(s): Stephan Louviere
Respondent(s): J.J.B. Hilliard, W.L. Lyons, Banc of America Investment Services Inc.
Respondent Lawyers(s): Katelyn H. Wilson, Todd A. Holleman
Arbitrator(s): George Forest Bingham
Hearing Site: Philadelphia, PA
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| 22-02398 | 05/21/2024 | Claimant(s): Roger Martyna
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): William J. Bender, Al Van Kampen, Frederick Allan Kaseburg
Hearing Site: Seattle, WA
|  | $0 |
| 22-02146 | 05/20/2024 | Claimant(s): The Estate of Adam K. Miller
Claimant Lawyers(s): Kevin Conway
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Edward Baer, William E. Nuckel, Kenneth Paul Williams
Hearing Site: New York, NY
| | |
| 23-02807 | 05/20/2024 | Claimant(s): Nicholas Efthemis
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Dissen
Hearing Site: Buffalo, NY
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| 23-01304 | 05/20/2024 | Claimant(s): Frank Snyder
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Tracy L. Allen
Hearing Site: St. Louis, MO
| | |
| 22-00508 | 05/20/2024 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Trace Schmeltz
Respondent(s): Apex Clearing Corporation, Webull Financial LLC
Respondent Lawyers(s): Jonathan D. Neerman, Ryan K. Bakhtiari
Arbitrator(s): Mark Aaron Jones, Mary Mackey, Page R Barnes
Hearing Site: San Francisco, CA
| | |
| 23-03013 | 05/17/2024 | Claimant(s): Federico Lopez Juarbe
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 23-03357 | 05/17/2024 | Claimant(s): Julie Ginn
Claimant Lawyers(s): Julie A. Ginn
Respondent(s): Anne Whelan, Daniel Morato, Wells Fargo Clearing Services
Respondent Lawyers(s): Mark A. Pratzel
Arbitrator(s):
Hearing Site: Birmingham, AL
| | $0 |
| 23-01550 | 05/17/2024 | Claimant(s): Equitable Advisors, Equitable Network
Claimant Lawyers(s): Amanda Sotak
Respondent(s): Wentworth Gardner
Respondent Lawyers(s): Alexander Padla
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
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| 22-00990 | 05/17/2024 | Claimant(s): Diane Jones, Huxley Richardson, Larry Marple, William Struwe
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Thomas J. LoSavio, Philip Aaron Tymon, Glenn Paul Gilbert
Hearing Site: San Francisco, CA
| | $0 |
