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
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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
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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
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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
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23-01493 | 05/17/2024 | Claimant(s): Glen Strauss Claimant Lawyers(s): Harris Freedman Respondent(s): Wells Fargo Clearing Services, Lehman Brothers Inc Respondent Lawyers(s): Christopher K. Kiplok, Geoff Beckham Arbitrator(s): Joyce L. Hurley Hearing Site: Los Angeles, CA
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20-00336 | 05/17/2024 | Claimant(s): Eduardo Augsten, as S.H. Wealthengage, Wealthengage. Claimant Lawyers(s): Jeffrey R. Sonn Respondent(s): Gustavo Vega Respondent Lawyers(s): Javier J. Rodriguez Arbitrator(s): Paul J. Burkhart, Marie Katz, Franchesca Caminero Hearing Site: Boca Raton, FL
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23-02497 | 05/17/2024 | Claimant(s): Patrick Durst Claimant Lawyers(s): Brian Luther Respondent(s): Lifemark Securities Corp. Respondent Lawyers(s): Alex Georgiev Arbitrator(s): Michael F. Jordan Hearing Site: Denver, CO
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23-02338 | 05/16/2024 | Claimant(s): Steven Mogul Claimant Lawyers(s): Craig A. Riha Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Leonard Arthur Nelson Hearing Site: Chicago, IL
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