| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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 |
