| 22-01674 | 07/26/2023 | Claimant(s): Carolyn Catlin, Stephen Wintermeier, Fenway Financial Advisors
Claimant Lawyers(s): David J. Freniere
Respondent(s): Ashleigh Swayze, Swayze LLC
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s): Mary E. Bassett, Linda Luke Lee, Marjorie Ann Butler
Hearing Site: Boston, MA
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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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| 22-02136 | 07/25/2023 | Claimant(s): Kenneth Kondas
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): The Huntington Investment Company
Respondent Lawyers(s): Paul R. Harris
Arbitrator(s): Robert J. Scafuri
Hearing Site: Pittsburgh, PA
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| 22-02831 | 07/25/2023 | Claimant(s): Jorge Garrido
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Kalie M. Maniglia
Arbitrator(s): Gloria O. North, Robert Steven Haught, Marisol Puga
Hearing Site: Boca Raton, FL
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| 23-00565 | 07/25/2023 | Claimant(s): Donald Dever
Claimant Lawyers(s): Gregory S. Sparer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
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| 22-02990 | 07/25/2023 | Claimant(s): Adam Udy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Las Vegas, NV
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| 23-01495 | 07/24/2023 | Claimant(s): Benjamin Walker
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Richard S. Zaifert
Hearing Site: Nashville, TN
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| 22-02663 | 07/24/2023 | Claimant(s): Danny Kamal
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Deirdre Wolff, Laura A. Pizzitola
Arbitrator(s): Larry Mims
Hearing Site: Atlanta, GA
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| 22-02117 | 07/21/2023 | Claimant(s): Meryll Bangsil
Claimant Lawyers(s): Zachary Morse
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Robert G. Geeseman
Hearing Site: Boca Raton, FL
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| 20-00608 | 07/21/2023 | Claimant(s): Amy Johnson
Claimant Lawyers(s): Elizabeth W. Swedock
Respondent(s): James Henry, Richard Lukaj, The Bank Street Group LLC
Respondent Lawyers(s): David S. Monastersky
Arbitrator(s): Walter D Goldsmith, Ivan W. Harper, Noah Jonathan Hanft
Hearing Site: New York, NY
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