| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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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