| 23-03626 | 09/25/2024 | Claimant(s): Scott Royal
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene
Arbitrator(s): Wesley C. Wilson, Tina E. Patterson, Nanci Sondra Landy
Hearing Site: Omaha, NE
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| 23-02267 | 06/17/2024 | Claimant(s): Henry Krich
Claimant Lawyers(s): Craig Stein
Respondent(s): J.P. Morgan Securities LLC
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Joseph Benalt, Nanci Sondra Landy, George H Tucker
Hearing Site: Boca Raton, FL
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| 22-02282 | 07/25/2023 | Claimant(s): Christian Searcy
Claimant Lawyers(s): Craig Stein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Marc S. Dobin, David P. Slater, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
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| 22-00159 | 03/29/2023 | Claimant(s): Andrew Sukhin
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Morgan Stanley, Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff, Kimberly J. Gustafson
Arbitrator(s): Nanci Sondra Landy, Steven Barry Paskal, Annelise Sander
Hearing Site: Boca Raton, FL
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| 22-00151 | 12/02/2022 | Claimant(s): Gregory Feldman
Claimant Lawyers(s): Zachary Morse
Respondent(s): Lord Abbett Distributor LLC
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Nanci Sondra Landy
Hearing Site: Boca Raton, FL
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| 21-01006 | 02/08/2022 | Claimant(s): Virginia Thompson
Claimant Lawyers(s): James P. Galvin
Respondent(s): Stifel, Nicolaus & Co.., UBS Financial Services Inc., Janney Montgomery Scott LLC, J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Benjamin J. Biard, Jill B. Clarke, John Murphy, Paul Klein
Arbitrator(s): Sheryl Sagel, Nanci Sondra Landy, Jason Allen Rosner
Hearing Site: Boca Raton, FL
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| 18-04064 | 09/09/2019 | Claimant(s): Michael Varga
Claimant Lawyers(s): Michael Varga
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Candice M. Capoziello
Arbitrator(s): Nanci Sondra Landy
Hearing Site: Boca Raton, FL
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| 18-03538 | 06/14/2019 | Claimant(s): Christopher Facka
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Nanci Sondra Landy
Hearing Site: Boca Raton, FL
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| 16-00888 | 03/27/2019 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): James L. Komie
Respondent(s): Howard Walzer
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Marie G. Peterson, Nanci Sondra Landy, Hector Enrique Valdes-Ortiz
Hearing Site: Boca Raton, FL
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| 18-00422 | 08/01/2018 | Claimant(s): Francisco Fernandez Leon
Claimant Lawyers(s): Robert J. Harvey
Respondent(s): Cetera Investment Services LLC
Respondent Lawyers(s): Benjamin Biard
Arbitrator(s): Nanci Sondra Landy
Hearing Site: Miami, FL
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