23-01398 | 02/23/2024 | Claimant(s): Allen Wilson Claimant Lawyers(s): Chelsea Bauer Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Jason Kempf Arbitrator(s): Veronica Ann Williams Hearing Site: Jersey City, NJ
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23-00961 | 02/23/2024 | Claimant(s): Federico Lopez Juarbe Claimant Lawyers(s): Roberto C. Quinones Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina-Velez Arbitrator(s): Stuart K. Furman Hearing Site: San Juan, PR
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23-01590 | 02/22/2024 | Claimant(s): D.A. Davidson & Co. Claimant Lawyers(s): Nancy L. Hendrickson Respondent(s): Jason Barella Respondent Lawyers(s): Jason Barella Arbitrator(s): Gail Sillman Hearing Site: Boston, MA
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23-02654 | 02/22/2024 | Claimant(s): Kathleen Adams Claimant Lawyers(s): Kathleen Adams Respondent(s): Daniel Needler, U.S. Bancorp Investments. Respondent Lawyers(s): Shawn Larsen-Bright Arbitrator(s): Dean J. Dietrich Hearing Site: San Francisco, CA
| | $0 |
23-02119 | 02/22/2024 | Claimant(s): NewBridge Securities Corp. Claimant Lawyers(s): Gregg J. Breitbart Respondent(s): Gerald Cocuzzo Respondent Lawyers(s): Gerald John Cocuzzo Arbitrator(s): Robert G. Geeseman, Glenn Jerrold Waldman, Lori Lovgren Hearing Site: Boca Raton, FL
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23-03066 | 02/22/2024 | Claimant(s): Hiive Markets Limited Claimant Lawyers(s): Marc M. Yenicag Respondent(s): Ethelbert Williams Respondent Lawyers(s): Ethelbert Williams Arbitrator(s): Michael S. Matek Hearing Site: Chicago, IL
| | $0 |
23-01072 | 02/21/2024 | Claimant(s): Keith Medeck Claimant Lawyers(s): Craig A. Riha Respondent(s): Millennium Securities Corp. Respondent Lawyers(s): Consuelo Moretto Arbitrator(s): Jay F. Frascella, Gerald M. Levine, Melinda George-Bristol Hearing Site: New York, NY
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23-01956 | 02/21/2024 | Claimant(s): Michael Escobar Claimant Lawyers(s): James P. Galvin Respondent(s): Sagepoint Financial. Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): David A. Schuler Hearing Site: Dallas, TX
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23-02936 | 02/21/2024 | Claimant(s): Candida Bobonis Roig, Lizzette Bobonis Roig Claimant Lawyers(s): David I. Hantman Respondent(s): Santander Securities LLC Respondent Lawyers(s): Sara L. Velez Santiago Arbitrator(s): John Francis Markuns Hearing Site: Boston, MA
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22-01781 | 02/21/2024 | Claimant(s): Richard McCready, Rosemary McCready Claimant Lawyers(s): Jeffrey Erez Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): John Rinaldi, Sidney Seligman, Priscilla Coq Hearing Site: Boca Raton, FL
| | Expungement |