23-03042 | 03/01/2024 | Claimant(s): Michael Dawson Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Melissa J. Gworek Arbitrator(s): G. Maynard Green Hearing Site: Houston, TX
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23-01882 | 03/01/2024 | Claimant(s): Cory Grandel Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Matthew Bohenek Arbitrator(s): John James McGovern Hearing Site: Pittsburgh, PA
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23-02615 | 03/01/2024 | Claimant(s): John Jakiun Claimant Lawyers(s): John E Jakiun Respondent(s): Vanguard Marketing Corporation Respondent Lawyers(s): Samantha B. Kats Arbitrator(s): Laura A. Kaster Hearing Site: Washington, DC
| | $325 |
23-02349 | 03/01/2024 | Claimant(s): Eugene Lash Claimant Lawyers(s): Eugene H Lash Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Ellen M. Murphy Arbitrator(s): Philip Aaron Tymon Hearing Site: San Francisco, CA
| | $51,698 |
23-03106 | 03/01/2024 | Claimant(s): Robin Wright Claimant Lawyers(s): Todd Green Respondent(s): Morgan Stanley, E*Trade Securities LLC Respondent Lawyers(s): John E. Bersin Arbitrator(s): Douglas Wade Carvell Hearing Site: Dallas, TX
| | $0 |
23-03026 | 02/29/2024 | Claimant(s): Adam Epstein Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Melissa J Gworek Arbitrator(s): Susan Manca Hearing Site: New York, NY
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21-02848 | 02/29/2024 | Claimant(s): IsZo Capital LP, IsZo Capital Management LP Claimant Lawyers(s): Irwin Weltz Respondent(s): Barsam Lakani, Christopher Bianchi, Jennifer Kane, John Laub, Lauri Scoran, Michael Sharp, Richard Handler, Stephen Augustin, Jefferies LLC Respondent Lawyers(s): Nicholas P. Crowell Arbitrator(s): Howard Alan Grinsberg, Elliot Schnapp, Diane S Steiner Hearing Site: New York, NY
| | $0 |
23-01308 | 02/29/2024 | Claimant(s): Curtis Harris Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Cambridge Investment Research., MML Investors Services Respondent Lawyers(s): Jeanette E. Dennis, Julie E. Ravis Arbitrator(s): Eric Ross Cromartie Hearing Site: Dallas, TX
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22-01337 | 02/29/2024 | Claimant(s): The Knox Family Revocable Living Trust Claimant Lawyers(s): Richard B. Fosher Respondent(s): Arete Wealth Management Respondent Lawyers(s): Gregg J. Breitbart Arbitrator(s): Robert J. Scafuri, Mary O'Connell Smith, Portia Musselwhite Hearing Site: St. Louis, MO
| | $75,000 |
23-00476 | 02/29/2024 | Claimant(s): Sonia Pou Monagas Claimant Lawyers(s): Roberto C. Quinones-Rivera Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey Medina Arbitrator(s): Gerald Silverman Hearing Site: San Juan, PR
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