| 23-03051 | 04/19/2024 | Claimant(s): Sanford C. Bernstein & Co., AllianceBernstein, L.P.
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Charles Lynch, Elijah Dornstreich, UBS Financial Services Inc., Ryan DePaul
Respondent Lawyers(s): Gary J. Lieberman, James L. Komie
Arbitrator(s): Richard Lewis Zack, Colin Bell, Hope A. Comisky
Hearing Site: Philadelphia, PA
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| 23-02277 | 04/19/2024 | Claimant(s): Christine and Claude Inch
Claimant Lawyers(s): Christine and Claude Inch
Respondent(s): Pruco Securities., Prudential Equity Group, Harry Weber
Respondent Lawyers(s): Jennifer E. Novoselsky, Kendra S. Canape
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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| 23-03037 | 04/19/2024 | Claimant(s): Gerard Costello
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Andrew M. Schmertz
Hearing Site: New York, NY
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| 23-01309 | 04/19/2024 | Claimant(s): Eli Ward
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): David A. Schuler
Hearing Site: Kansas City, MO
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| 23-01642 | 04/19/2024 | Claimant(s): Maria Giatzikis
Claimant Lawyers(s): Joseph P. Allgor
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Lawyers(s): Christopher C. Coss
Arbitrator(s): Bryan Lane Berson
Hearing Site: New York, NY
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| 23-03040 | 04/18/2024 | Claimant(s): Michael Depasquale
Claimant Lawyers(s): James P. Galvin
Respondent(s): M Holdings Securities., Nationwide Securities
Respondent Lawyers(s): Daniela Paez, Jason D. Christian
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
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| 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
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| 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
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| 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
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| 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
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