23-01610 | 01/04/2024 | Claimant(s): U.S. Bancorp Investments. Claimant Lawyers(s): Eric Raphan Respondent(s): Andrew Smith Respondent Lawyers(s): Andrew Smith Arbitrator(s): Bert P. Krages Hearing Site: Portland, OR
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23-00695 | 01/04/2024 | Claimant(s): Keith Medeck Claimant Lawyers(s): Craig A. Riha Respondent(s): Continental Broker-Dealer Corp. Respondent Lawyers(s): Michael Clements Arbitrator(s): Ted M. Rosen, Neil G. Gargiulo, Arthur Neil Tolciss Hearing Site: New York, NY
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22-01629 | 01/03/2024 | Claimant(s): Lu Yu Claimant Lawyers(s): Harris Freedman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jason E. Murtagh Arbitrator(s): Michael Harrison Hearing Site: Los Angeles, CA
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21-02289 | 01/02/2024 | Claimant(s): Justin Naughton Claimant Lawyers(s): Dennis E. Boyle Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): John Bersin Arbitrator(s): Joseph J. Dougherty, Overman Randolph Rollins, Elizabeth Flannagan Edwards Hearing Site: Richmond, VA
| | $75,603 |
23-01000 | 01/02/2024 | Claimant(s): Doel Garciaromero Claimant Lawyers(s): Ubaldo M. Fernandez-Barrera Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina-Velez Arbitrator(s): Steven N. Ainbinder Hearing Site: San Juan, PR
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21-02754 | 01/02/2024 | Claimant(s): Jeffrey Nemesi Claimant Lawyers(s): Stephan Louviere Respondent(s): Falcon Square Capital Respondent Lawyers(s): Paul J. Bazil Arbitrator(s): Jeffrey R. Brown, Margaret Elizabeth Gee, Danny Lynn Ingram Hearing Site: Raleigh, NC
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23-00996 | 01/02/2024 | Claimant(s): Livia Mendes Mansur Claimant Lawyers(s): Mark David Hunter Respondent(s): XP Investments US Respondent Lawyers(s): Michael A. Gross Arbitrator(s): Richard Carl Smukler, John S. Leech, Carl Henry Perdue Hearing Site: Boca Raton, FL
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23-01085 | 01/02/2024 | Claimant(s): Luis Espinoza Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Ameriprise Financial Services., FFEC Wealth Partners LLC Respondent Lawyers(s): Howard Klausmeier, Patrick W. Kelly Arbitrator(s): Michael W. Burnett, Andrew M. Mintzer, Stephen Howard Marcus Hearing Site: Los Angeles, CA
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23-01373 | 12/29/2023 | Claimant(s): Jason Hill Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Centaurus Financial. Respondent Lawyers(s): Bryan Gless Arbitrator(s): Frances Johnson Wright Hearing Site: Oklahoma City, OK
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23-01606 | 12/29/2023 | Claimant(s): Kenneth Bonal Claimant Lawyers(s): Craig Riha Respondent(s): J. P. Turner & Company LLC Respondent Lawyers(s): David Feldstein Arbitrator(s): Susan Romano, Loretta Yin, Jessica Marie Schuett Hearing Site: New York, NY
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