| 24-01631 | 11/29/2024 | Claimant(s): Rafael Friederichsen
Claimant Lawyers(s): Rafael A. Friederichsen
Respondent(s): BBVA Securities Inc.
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): David Aaron DeSoto, John Ryan, Harry Tharp
Hearing Site: Houston, TX
| | |
| 24-00692 | 11/27/2024 | Claimant(s): Marie Mangin
Claimant Lawyers(s): John Mangin
Respondent(s): OneAmerica Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Joyce A. Mitchell, Nalini Iyer, Joel Miller
Hearing Site: Washington, DC
|  | Dismissed by Rule 12206 |
| 24-01001 | 11/27/2024 | Claimant(s): David Bedford, Jeffrey Crum
Claimant Lawyers(s): Clay Wash
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Herb Schwartz, Thomas R. Watkins, David A. Schuler
Hearing Site: Chicago, IL
| | |
| 24-00794 | 11/27/2024 | Claimant(s): Richard Belline
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Robin-Renee Keys
Arbitrator(s): Lynne M. Gomez
Hearing Site: Little Rock, AR
| | |
| 21-00424 | 11/27/2024 | Claimant(s): Michael Wegener
Claimant Lawyers(s): Brian J. Masternak
Respondent(s): Roger Cooley
Respondent Lawyers(s): Samuel P. Mauch
Arbitrator(s): Patrick R. Sughroue, Anthony Allen Mogle, Michele Renee Zinn
Hearing Site: Detroit, MI
| | |
| 23-00993 | 11/26/2024 | Claimant(s): Dario Suarez
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey Medina
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
| | |
| 24-00972 | 11/26/2024 | Claimant(s): Fred Huecker, Susan Huecker
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Lawrence Nagel, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest, John O. Lukanski
Arbitrator(s): George G. Kurschner
Hearing Site: Louisville, KY
| | $26,156 |
| 24-02085 | 11/26/2024 | Claimant(s): Mitchell Riesenberger
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Kenneth R. Starr, Kenneth W. Gosliner, Catherine Esther Bocskor
Hearing Site: Boston, MA
| | |
| 23-03097 | 11/26/2024 | Claimant(s): Lisa Lighthipe-Hinz
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Ashley Lucile Belleau, Keely D. Parr, Daniel James Kortum
Hearing Site: Los Angeles, CA
| | |
| 23-03585 | 11/26/2024 | Claimant(s): Dylan Brosious
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Floyd Gerry Hoffman
Hearing Site: Phoenix, AZ
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