| 23-01838 | 05/16/2024 | Claimant(s): Scott Brantingson, Monocacy Wealth Partners LLC
Claimant Lawyers(s): Paul D. Flack
Respondent(s): Nicole Sennett, Sennett & Associates Wealth Group Ltd
Respondent Lawyers(s): Leigh Ann Buziak
Arbitrator(s): Laura A. Kaster, Kurt Birchler, Margaret F Creed
Hearing Site: Philadelphia, PA
| | |
| 24-00392 | 05/15/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Gabriel Lee-Sanchez
Respondent(s): Sevag Haddadian
Respondent Lawyers(s): Sevag Raffi Haddadian
Arbitrator(s): Robert C. Albini
Hearing Site: Los Angeles, CA
| | |
| 23-00914 | 05/15/2024 | Claimant(s): Thomas Garity
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
| | |
| 22-01614 | 05/15/2024 | Claimant(s): Christopher Wienecke
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Yvette Cecilia Hatfield
Hearing Site: Baltimore, MD
| | |
| 23-02947 | 05/15/2024 | Claimant(s): Dale Emerick
Claimant Lawyers(s): Joel M. Everest
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
| | |
| 23-02900 | 05/14/2024 | Claimant(s): James Crosson
Claimant Lawyers(s): William Bean
Respondent(s): LPL Financial LLC, Investors Capital Corp., Voya Financial Advisors.
Respondent Lawyers(s): Brian J. Palmeri, David Feldstein, Kelsey L. Vasko
Arbitrator(s): Sean Alan D'Amico
Hearing Site: Providence, RI
| | |
| 22-02383 | 05/14/2024 | Claimant(s): Joseph Barbour
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BBVA Securities.
Respondent Lawyers(s): Jonathan P. Hoffmann
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
| | |
| 23-00373 | 05/14/2024 | Claimant(s): Jeffrey Jackson
Claimant Lawyers(s): Harris Freedman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
| | |
| 22-00430 | 05/13/2024 | Claimant(s): Mark Carter
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Dennis Poulos, Eric Deems, Gerard Rocchi, Mark Madgett, NYLife Securities LLC, Vincent Spaniolo
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Robert L. Altizer, Sandra Franklin, Mark Leslie Small
Hearing Site: Detroit, MI
| | |
| 23-03655 | 05/13/2024 | Claimant(s): Valery Dunayevsky
Claimant Lawyers(s): Valery Dunayevsky
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kevin Blume
Arbitrator(s): Peter E. Gillespie
Hearing Site: New York, NY
|  | $300 |
