| 21-01972 | 10/25/2022 | Claimant(s): Jess Hurst
Claimant Lawyers(s): Brian P. Nally
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Lynn Hirschfeld Brahin, Scott C. Matasar, David Arnold
Hearing Site: Cleveland, OH
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| 22-01323 | 09/26/2022 | Claimant(s): Lincoln Financial Advisors Corporation
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): John Nelson
Respondent Lawyers(s): John W. Nelson
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Cleveland, OH
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| 20-04171 | 08/08/2022 | Claimant(s): Craig Findley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): James L. Komie
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cleveland, OH
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| 21-02962 | 08/05/2022 | Claimant(s): Jeffrey Gollehon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Cleveland, OH
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| 21-02938 | 06/09/2022 | Claimant(s): Kenneth Wise
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Joseph Edelstein, William M. Azkoul, John C. Aten
Hearing Site: Cleveland, OH
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| 18-03388 | 05/12/2022 | Claimant(s): Todd Kalish
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): Morgan Stanley
Respondent Lawyers(s): H. Nicholas Berberian
Arbitrator(s): Jeffrey M. Bain, Karl Strohbehn, Marshall Alton Bennett
Hearing Site: Cleveland, OH
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| 21-01967 | 03/29/2022 | Claimant(s): Andrew Miller, Karl Schlabach
Claimant Lawyers(s): Brian Luther
Respondent(s): The O.N Equity Sales Company
Respondent Lawyers(s): Mark E. Elsener
Arbitrator(s): Gary B. Deutsch
Hearing Site: Cleveland, OH
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| 20-00743 | 02/17/2022 | Claimant(s): Gary Kovach
Claimant Lawyers(s): John A. Hubbard
Respondent(s): Kovack Securities Inc, Brian Kovack
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Jeffrey M. Bain, Peggy Foley Jones, Kevin Brodar
Hearing Site: Cleveland, OH
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| 21-01170 | 11/24/2021 | Claimant(s): Sanjay Beach
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Tracy L. Allen
Hearing Site: Cleveland, OH
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| 19-03592 | 10/04/2021 | Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): Mitch Deane
Respondent(s): Leo Rosner
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cleveland, OH
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