| 23-02947 | 05/15/2024 | Claimant(s): Dale Emerick
Claimant Lawyers(s): Joel M. Everest
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
| | |
| 23-02900 | 05/14/2024 | Claimant(s): James Crosson
Claimant Lawyers(s): William Bean
Respondent(s): LPL Financial LLC, Investors Capital Corp., Voya Financial Advisors.
Respondent Lawyers(s): Brian J. Palmeri, David Feldstein, Kelsey L. Vasko
Arbitrator(s): Sean Alan D'Amico
Hearing Site: Providence, RI
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| 22-02383 | 05/14/2024 | Claimant(s): Joseph Barbour
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BBVA Securities.
Respondent Lawyers(s): Jonathan P. Hoffmann
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
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| 23-00373 | 05/14/2024 | Claimant(s): Jeffrey Jackson
Claimant Lawyers(s): Harris Freedman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
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| 22-00430 | 05/13/2024 | Claimant(s): Mark Carter
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Dennis Poulos, Eric Deems, Gerard Rocchi, Mark Madgett, NYLife Securities LLC, Vincent Spaniolo
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Robert L. Altizer, Sandra Franklin, Mark Leslie Small
Hearing Site: Detroit, MI
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| 23-03655 | 05/13/2024 | Claimant(s): Valery Dunayevsky
Claimant Lawyers(s): Valery Dunayevsky
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kevin Blume
Arbitrator(s): Peter E. Gillespie
Hearing Site: New York, NY
|  | $300 |
| 23-02951 | 05/13/2024 | Claimant(s): Stephen Soper
Claimant Lawyers(s): Joseph P. Allgor
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Thomas M. Madden
Hearing Site: Albany, NY
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| 23-03467 | 05/13/2024 | Claimant(s): Sergio Agopian
Claimant Lawyers(s): John E. Jenkins
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Linda J. Baer
Hearing Site: Jersey City, NJ
| | $300 |
| 22-00037 | 05/10/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Joseph Seidler
Respondent Lawyers(s): Mark Thomas
Arbitrator(s): D. Peter Gleichenhaus, Meredith F. Hoffman, Enrique Colin
Hearing Site: San Francisco, CA
| | |
| 23-00686 | 05/09/2024 | Claimant(s): Mark Sullivan, Richard Dellarusso
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Albert Rizzo
Hearing Site: New York, NY
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