| 21-01360 | 02/18/2022 | Claimant(s): Intellivest Securities.
Claimant Lawyers(s): Daniel H. Kolber
Respondent(s): Keen Growth Capital Fund II LP
Respondent Lawyers(s): Howard N. Kahn
Arbitrator(s): David M. Snyder
Hearing Site: Tampa, FL
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| 21-02923 | 02/07/2022 | Claimant(s): Gregory Kadet
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Thomas J. Patka
Hearing Site: Tampa, FL
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| 20-01831 | 01/18/2022 | Claimant(s): Nancy Mellon
Claimant Lawyers(s): Nancy Kimball Mellon
Respondent(s): Wells Fargo Advisors Financial Network, Wells Fargo Clearing Services
Respondent Lawyers(s): Neil M. Katsuyama
Arbitrator(s): Gary L. Hodge, Karl A. Vogeler, Richard Kennard Hurley
Hearing Site: Tampa, FL
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| 21-00834 | 12/20/2021 | Claimant(s): Robert Yahney
Claimant Lawyers(s): Daniel P. Dietrich
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Thomas J. Patka
Hearing Site: Tampa, FL
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| 20-03223 | 12/17/2021 | Claimant(s): Gerald O'Halloran
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Edward Jones, A. G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff, Jon Hackbarth
Arbitrator(s): Darryl C. Wilson
Hearing Site: Tampa, FL
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| 21-00195 | 12/15/2021 | Claimant(s): William Valenti
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
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| 21-00927 | 12/10/2021 | Claimant(s): Eric Abbott
Claimant Lawyers(s): Harris Freedman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: Tampa, FL
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| 19-02079 | 11/30/2021 | Claimant(s): Joe King, Lynn Faust, Michael Faust
Claimant Lawyers(s): Debra A. Jenks, Marc S. Dobin
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Louis F. Mendez
Arbitrator(s): Suzanne E. Reynolds-Brady, Cindy L. Anderson, Meeta Alberta Bass
Hearing Site: Tampa, FL
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| 20-03228 | 10/26/2021 | Claimant(s): Gerald O'Halloran
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Kovack Securities Inc
Respondent Lawyers(s): Amy S. Towle
Arbitrator(s): David M. Snyder
Hearing Site: Tampa, FL
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| 21-00170 | 09/17/2021 | Claimant(s): Lisa Kulhavi
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
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