| 22-01673 | 06/21/2024 | Claimant(s): Adam Vega
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Goldman Sachs & Co. LLC
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
| | |
| 23-00919 | 06/21/2024 | Claimant(s): Maria Torruella
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
| | |
| 24-00675 | 06/21/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jason D. Evans
Respondent(s): Helen Grace Caldwell
Respondent Lawyers(s): Helen Grace Caldwell
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | |
| 23-00539 | 06/21/2024 | Claimant(s): Heather Silvestro, Kyle Silvestro
Claimant Lawyers(s): Adolfo J. Anzola
Respondent(s): Goldman Sachs & Co. LLC
Respondent Lawyers(s): Brian A. Briz
Arbitrator(s): Ian S. Greig, Jacquelyn M. Shannon, Eric Greenstein
Hearing Site: Tampa, FL
|  | Expungement |
| 23-00256 | 06/21/2024 | Claimant(s): Maria Cristina Donnelly
Claimant Lawyers(s): David Cook
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Justin Opitz
Arbitrator(s): Sherry R. Wetsch, Maryanne M. Esser, Allan R. Lazor
Hearing Site: Houston, TX
| | $0 |
| 23-02873 | 06/21/2024 | Claimant(s): Louis Wargo
Claimant Lawyers(s): Jack D. Butler
Respondent(s): Equitable Advisors, FSC Securities Corporation
Respondent Lawyers(s): Jennifer R. Cox, Kevin W. Brooks
Arbitrator(s): Tracy L. Allen, David Arnold, Michael Alan Ellis
Hearing Site: Cleveland, OH
| | |
| 23-02335 | 06/21/2024 | Claimant(s): James Springer
Claimant Lawyers(s): Craig Stein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Paul J. Burkhart, Stew Cohen, Jason Zachary Jones
Hearing Site: Boca Raton, FL
| | |
| 23-02848 | 06/20/2024 | Claimant(s): Pasquale Pisani
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Jeffrey Alan Helewitz
Hearing Site: Jersey City, NJ
| | |
| 23-02177 | 06/20/2024 | Claimant(s): Zhanling Liu
Claimant Lawyers(s): W Scott Greco
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jovalin Dedaj
Arbitrator(s): Nancy E. Watters
Hearing Site: Washington, DC
| | $65,322 |
| 23-02765 | 06/20/2024 | Claimant(s): Jose Chaves
Claimant Lawyers(s): Russell Del Toro Parra
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
| | |
