23-00929 | 04/18/2024 | Claimant(s): Sonia Pou Monagas Claimant Lawyers(s): Roberto C. Quinones-Rivera Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina-Velez Arbitrator(s): Louis David Huss Hearing Site: San Juan, PR
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23-02956 | 04/18/2024 | Claimant(s): Tatyana Bunich Claimant Lawyers(s): Robert Moses Respondent(s): Independent Financial Group. Respondent Lawyers(s): Sarah J. Kreisman Arbitrator(s): Richard E. Lauziere Hearing Site: Baltimore, MD
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23-02652 | 04/18/2024 | Claimant(s): Joseph Silich Claimant Lawyers(s): Bruce Lewitas Respondent(s): Morgan Stanley Respondent Lawyers(s): Jeremy S. Winer Arbitrator(s): Susanne J. Hollander, Felice Janine Batlan, Adrienne Michelle Adams Hearing Site: Chicago, IL
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23-02977 | 04/18/2024 | Claimant(s): Daniel Klemm Claimant Lawyers(s): Anthony Paduano Respondent(s): Centaurus Financial. Respondent Lawyers(s): Michael J. Carey Arbitrator(s): Harvey R. Linder Hearing Site: Columbia, SC
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23-01143 | 04/18/2024 | Claimant(s): Elizabeth Stancil Claimant Lawyers(s): Dochtor Kennedy Respondent(s): First Citizens Investor Services. Respondent Lawyers(s): Kyle A. Owens Arbitrator(s): Ian S. Greig Hearing Site: Raleigh, NC
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23-01849 | 04/18/2024 | Claimant(s): Brian Hagen Claimant Lawyers(s): James P. Galvin Respondent(s): Concourse Financial Group Securities Respondent Lawyers(s): Kathryn Roe Eldridge Arbitrator(s): Michael S. Yauch Hearing Site: Houston, TX
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21-02684 | 04/17/2024 | Claimant(s): Steve Kramer Claimant Lawyers(s): Brandon Dei Respondent(s): Michael Finnan, Morgan Wilshire Securities. Respondent Lawyers(s): Michael John Finnan Arbitrator(s): Kendall C. Reed, Rick Gale Doty, Kimberly Johnson Hearing Site: Denver, CO
| | Dismissed by Rule 12212©&12511(b) |
22-01836 | 04/17/2024 | Claimant(s): Bula Land Trucking LLC C/O Eugene Bula Claimant Lawyers(s): David B. Vermont Respondent(s): Stephen Marek, Joseph Gunnar & Co. LLC Respondent Lawyers(s): John E. Lawlor Arbitrator(s): Mark A. Frankel, Mark Richard Cummisford, Nathaniel Cade Hearing Site: Milwaukee, WI
| | $0 |
22-02894 | 04/17/2024 | Claimant(s): Peggy Hedgren Claimant Lawyers(s): Jennifer P. Farrar Respondent(s): Edward Jones Respondent Lawyers(s): Donald R. Littlefield Arbitrator(s): Allan R. Lazor, David Aaron DeSoto, Fred Olivares Hearing Site: Houston, TX
| | Expungement |
23-02331 | 04/17/2024 | Claimant(s): Mark Frederick Claimant Lawyers(s): Brian Luther Respondent(s): First Allied Securities. Respondent Lawyers(s): Jeremy Wooden Arbitrator(s): Kenneth Paul Strongman Hearing Site: San Francisco, CA
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