| 20-01715 | 11/06/2020 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Nicola A. Murphy
Respondent(s): John Ginsbury
Respondent Lawyers(s): John Ginsbury
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Providence, RI
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| 19-01956 | 06/22/2020 | Claimant(s): Dustin Capco
Claimant Lawyers(s): Dustin Thomas Capco
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Lorie E. Almon
Arbitrator(s): Gregory Hunter Mathews, William Francis Ryan, Joseph Stuligross
Hearing Site: Pittsburgh, PA
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| 19-00902 | 06/19/2020 | Claimant(s): Matthew Goldstein
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John T. DiNapoli
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
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| 19-02570 | 02/26/2020 | Claimant(s): Stokes Baird
Claimant Lawyers(s): William W. Allen
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): Alexander M. Marks
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Louisville, KY
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| 19-00710 | 10/17/2019 | Claimant(s): Michael Brooks
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Igor V. Stadnik
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Norfolk, VA
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| 18-02103 | 10/11/2019 | Claimant(s): Lester Hardley
Claimant Lawyers(s): Lester Efrem Hardley
Respondent(s): Nicholas Mingone, Citizens Securities.
Respondent Lawyers(s): Geoffrey W. Millsom
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
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| 18-00329 | 08/06/2019 | Claimant(s): Branda Allen, David Meske, John Riley, Joshua Allen, Philip Susi, Robert Mitchell
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Securities America.
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Gregory Hunter Mathews, Sarah R. Cole, Randolph Carson Wiseman
Hearing Site: Columbus, OH
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| 19-00618 | 07/05/2019 | Claimant(s): Citizens Securities.
Claimant Lawyers(s): Stuart D. Roberts
Respondent(s): Nelson Amparo
Respondent Lawyers(s): Nelson Alejandro Amparo
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Providence, RI
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| 18-00926 | 05/07/2019 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michelle M. Wezner
Respondent(s): Mark Santia
Respondent Lawyers(s): Brian J. Sommer
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Pittsburgh, PA
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| 17-00158 | 03/18/2019 | Claimant(s): Dominik Weber
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): PNC Investments
Respondent Lawyers(s): Frederic L. Lieberman
Arbitrator(s): Gregory Hunter Mathews, Peter Vincent Marcoline, William Francis Ryan
Hearing Site: Pittsburgh, PA
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