| 23-01481 | 11/08/2023 | Claimant(s): B. Riley Wealth Management
Claimant Lawyers(s): Emily Hayes
Respondent(s): Timothy Breslin
Respondent Lawyers(s): Timothy James Breslin
Arbitrator(s): George Forest Bingham
Hearing Site: Philadelphia, PA
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| 22-02424 | 10/20/2023 | Claimant(s): Michael Norton
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Lincoln Financial Distributors.
Respondent Lawyers(s): Dustin J. Tirpak
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
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| 21-03038 | 10/09/2023 | Claimant(s): William Capece
Claimant Lawyers(s): Christopher Coss
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Stephen T. Mayhew, Gregory J. Spadea, Arthur Traldi
Hearing Site: Philadelphia, PA
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| 21-02258 | 09/19/2023 | Claimant(s): Blake Epstein, Stanley Kiec
Claimant Lawyers(s): Alan Rosca
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Megan VerGow
Arbitrator(s): Mark H. Stein, Thomas E Kopil, James Christie
Hearing Site: Philadelphia, PA
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| 23-00647 | 08/16/2023 | Claimant(s): Susquehanna Financial Group, LLLP, Susquehanna International Group, LLP
Claimant Lawyers(s): Roni Mathew
Respondent(s): Mitchell Martin
Respondent Lawyers(s): Mitchell Martin
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
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| 23-00736 | 08/10/2023 | Claimant(s): Gary Sanson
Claimant Lawyers(s): David I. Hantman
Respondent(s): Cambridge Investment Research., Voya Financial Advisors.
Respondent Lawyers(s): Denis C. Dice, Jeanette E. Dennis
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 22-02184 | 07/28/2023 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John B. Clark
Respondent(s): Daniel Snodgrass
Respondent Lawyers(s): Daniel Stephen Snodgrass
Arbitrator(s): George Forest Bingham
Hearing Site: Philadelphia, PA
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| 22-02898 | 07/07/2023 | Claimant(s): Kinzey Lynch
Claimant Lawyers(s): Scott M. Pollins
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Elizabeth Ann Morgan
Hearing Site: Philadelphia, PA
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| 21-02075 | 06/26/2023 | Claimant(s): Bernard Audet
Claimant Lawyers(s): Matthew R. Major
Respondent(s): New England Securities Corporation
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Alan M. Schankel, John James McGovern, Robin L. Lewis
Hearing Site: Philadelphia, PA
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| 21-02504 | 04/18/2023 | Claimant(s): George Shadie
Claimant Lawyers(s): George R. Shadie
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Christopher J. Murdoch
Arbitrator(s): Fred W. Miller, Emily Kay Declercq, Cynthia Weiss
Hearing Site: Philadelphia, PA
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