23-00964 | 09/12/2024 | Claimant(s): Federico Lopez Juarbe Claimant Lawyers(s): Roberto C. Quinones Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina Arbitrator(s): Christopher J. Klein Hearing Site: San Juan, PR
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23-02260 | 09/12/2024 | Claimant(s): Muharrem Nezaj, 23 Hoffman LLC, 3155-3157 Villa. Claimant Lawyers(s): Michael C. Bixby Respondent(s): Scott Offerman, Concorde Investment Services Respondent Lawyers(s): Scott Holcomb Arbitrator(s): Clarence Smith, Cheryl H. Agris, Elaine Shay Hearing Site: New York, NY
| | $0 |
23-02806 | 09/11/2024 | Claimant(s): Steven Prestyly Claimant Lawyers(s): Daniel D'Costa Respondent(s): LPL Financial LLC Respondent Lawyers(s): Eleonora Yonge Arbitrator(s): Harvey R. Linder, Margaret Verdery Little, Dexter Thomas Laughlin Hearing Site: Norfolk, VA
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23-02881 | 09/11/2024 | Claimant(s): Bruce Kimball Claimant Lawyers(s): Bruce M. Kimball Respondent(s): Securities America., Geneos Wealth Management Respondent Lawyers(s): Jennifer R. Cox, Victoria H. Buter Arbitrator(s): David A. Schuler Hearing Site: Dallas, TX
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23-03453 | 09/11/2024 | Claimant(s): Lou Varanese Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): David I. Hantman Arbitrator(s): George Forest Bingham Hearing Site: Philadelphia, PA
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23-03033 | 09/10/2024 | Claimant(s): Matthew Buchsbaum Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Melissa J. Gworek Arbitrator(s): Laura Carraher Hearing Site: New York, NY
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23-01721 | 09/10/2024 | Claimant(s): William Collier Claimant Lawyers(s): William O. Collier Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Sara Soto Arbitrator(s): Joyce A. Mitchell, David Paul Clark, David Ivan Brochstein Hearing Site: Richmond, VA
| | $0 |
22-01935 | 09/10/2024 | Claimant(s): Claimant Lawyers(s): Respondent(s): Mark Mappa, Kestra Investment Services Respondent Lawyers(s): Andrew S. May, Lydia R. Zaidman Arbitrator(s): Michael S. Matek, Larry Evert Carlson, Richard Michael Stanton Hearing Site: Chicago, IL
| | $0 |
24-00214 | 09/10/2024 | Claimant(s): Olawale Kajopaiye Claimant Lawyers(s): Olawale Kajopaiye Respondent(s): PFM Fund Distributors. Respondent Lawyers(s): Briana Al Taqatqa Arbitrator(s): Minnie Loo, Daniel J. Lind, William W. Haskell Hearing Site: San Francisco, CA
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23-01896 | 09/09/2024 | Claimant(s): Michelle Urban Claimant Lawyers(s): Michelle Lynn Urban Respondent(s): Citizens Securities. Respondent Lawyers(s): Robert J. Hannen Arbitrator(s): Douglas M. Branson, Cheryl Esposito Kaufman, Max D. Halpern Hearing Site: Pittsburgh, PA
| | Dismissed by Rules 12409 and 12504 |