| 22-02025 | 09/28/2023 | Claimant(s): Sandra Diggs
Claimant Lawyers(s): Joseph S. Simms
Respondent(s): State Farm VP Management Corp.
Respondent Lawyers(s): Brooke D. Clarkson
Arbitrator(s): Mark L Miller, Emily J. Lewis, Matthew Harold Fields
Hearing Site: Columbus, OH
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| 22-02618 | 09/28/2023 | Claimant(s): Cynthia Perry
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Umb Financial Services.
Respondent Lawyers(s): Shannon M. Wheaton
Arbitrator(s): Michael S. Jordan
Hearing Site: Kansas City, MO
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| 20-00554 | 09/28/2023 | Claimant(s): Brenda Blisk, Spire Investment Partners, Spire Securities, Spire Wealth Management
Claimant Lawyers(s): Matthew C. Plant
Respondent(s): Cecile Hult, Dianne Nolin, Eric Ashburn, Joseph Gallemore, Argent Bridge Advisors
Respondent Lawyers(s): Kate E. DiGeronimo
Arbitrator(s): Patricia H. Latham, Jonathan Edward Levine, Jay N. Lazrus
Hearing Site: Washington, DC
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| 22-02264 | 09/28/2023 | Claimant(s): Barry Kiront
Claimant Lawyers(s): John Stewart
Respondent(s): Woodstock Financial Group.
Respondent Lawyers(s): William J. Raike
Arbitrator(s): Lisa Catalano, William A. Rome, Clive I. Morrick
Hearing Site: New York, NY
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| 22-02818 | 09/27/2023 | Claimant(s): Christopher Aitken, Roy Tonning
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Richard S. Zaifert
Hearing Site: Jacksonville, FL
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| 23-00986 | 09/27/2023 | Claimant(s): Philip Bradshaw
Claimant Lawyers(s): Katherine S. Bowles
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Daryl S. Landy
Arbitrator(s): Mitchell Lee Lathrop
Hearing Site: San Diego, CA
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| 23-00598 | 09/26/2023 | Claimant(s): Aaron Gordon
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): New England Securities Corporation
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Walter Steven Schwartz, Jason Robinson, John F Mencer
Hearing Site: Phoenix, AZ
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| 23-00098 | 09/25/2023 | Claimant(s): James Richardson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
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| 22-02861 | 09/25/2023 | Claimant(s): Karen Hoy
Claimant Lawyers(s): N. Nancy Ghabai
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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| 23-00584 | 09/25/2023 | Claimant(s): Rohin Ullberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): SII Investments.
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
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