| 23-01890 | 05/02/2024 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Erico Galvez, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea Peraner-Sweet, Rachael L. Carp
Arbitrator(s): Robert L. Chase, David J. Kaufman, David S. Godkin
Hearing Site: Augusta, ME
| | |
| 22-00992 | 05/01/2024 | Claimant(s): Estate of Donald W. Gomez
Claimant Lawyers(s): Melinda Jane Steuer
Respondent(s): Morgan Stanley, Katie Beres
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Ralph A. Cotton, Scott Dodson, John Timothy Nardell
Hearing Site: San Francisco, CA
|  | $0 |
| 23-01345 | 05/01/2024 | Claimant(s): Alexander Hackley
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Martin M. Berliner, Leonard M. Goldstein, Adam Michael Porter
Hearing Site: Denver, CO
| | |
| 23-02598 | 05/01/2024 | Claimant(s): Williams Butcher
Claimant Lawyers(s): Seth Ian Rubinson
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Myra P. Nicholson
Arbitrator(s): G. Dennis Sheehan, Dawna Kim Larson, Nick Thomas
Hearing Site: Houston, TX
| | |
| 23-02692 | 05/01/2024 | Claimant(s): Carl Labruna
Claimant Lawyers(s): Carl John Labruna
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Louis David Huss, Mark A. Jacoby, Lauren Beth Shapiro
Hearing Site: Boca Raton, FL
| | |
| 23-00211 | 05/01/2024 | Claimant(s): Christina Ludvigsen, Christina Ludvigsen IRA (1107), Christina Ludvigsen IRA (3283)
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Frank Wu, Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Allan N. Taffet, Edmund Siejka, John Franklin Udochi
Hearing Site: New York, NY
| | $7,440 |
| 22-02666 | 04/30/2024 | Claimant(s): David Del Toro
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
| 23-00429 | 04/30/2024 | Claimant(s): Michael Rosenthal
Claimant Lawyers(s): Sam B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borelli
Arbitrator(s): Robert Barton McLeroy, Albert Bates Wenzell, Carl Haralson Ginsberg
Hearing Site: Dallas, TX
| | Expungement |
| 23-01743 | 04/30/2024 | Claimant(s): Francis Amsler, Marc Laborde
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Rockefeller Financial LLC
Respondent Lawyers(s): William Fenrich
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
| | |
| 22-01455 | 04/30/2024 | Claimant(s): Raymond Paller
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Mark L Miller, Susan M. Coleman, Lisa M. Krimen
Hearing Site: Chicago, IL
| | $0 |
