| 22-00721 | 06/01/2023 | Claimant(s): William Morrow
Claimant Lawyers(s): Zachary Morse
Respondent(s): Titan/Value Equities Group., Independent Financial Group., Value Equities Corporation
Respondent Lawyers(s): Michael Mullenniex, Robert L. Dix, Sarah J. Kreisman
Arbitrator(s): Morris S. Getzels
Hearing Site: San Diego, CA
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| 22-02675 | 05/31/2023 | Claimant(s): Kristina Nichols
Claimant Lawyers(s): James P. Galvin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
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| 22-01108 | 05/30/2023 | Claimant(s): Mihir Jobalia
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): KPMG Corporate Finance LLC
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
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| 22-01428 | 05/26/2023 | Claimant(s): Carolina Tanjutco
Claimant Lawyers(s): Carolina Tanjutco
Respondent(s): NYLife Securities LLC, New York Life Insurance Company
Respondent Lawyers(s): Christopher J. Murdoch
Arbitrator(s): Carol Maria Luttati, Abigail R. Levy
Hearing Site: New York, NY
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| 22-01227 | 05/26/2023 | Claimant(s): William Armfield
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Chase Boone Saunders
Hearing Site: Charlotte, NC
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| 21-02748 | 05/25/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Kevin J Woods
Respondent(s): Eric Demarcus
Respondent Lawyers(s): Neda Ataie
Arbitrator(s): Peter H. Daly, Val D. Hornstein, Richard Ullman
Hearing Site: San Francisco, CA
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| 22-00012 | 05/25/2023 | Claimant(s): Damon George
Claimant Lawyers(s): Damon David George
Respondent(s): United Planners' Financial Services
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Nancy E. Hochman, John M. Casey, Mark Lee Haggard
Hearing Site: Portland, OR
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| 17-00546 | 05/25/2023 | Claimant(s): Gerard Costello, Matthew Buchsbaum, Scott Rosenberg, Sonia Attkiss
Claimant Lawyers(s): Robert Miller
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Stephen M. Kramarsky
Arbitrator(s): Sam Antar, Alan Robert Sacks, Jason Lowe
Hearing Site: New York, NY
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| 22-02058 | 05/24/2023 | Claimant(s): Rodrigo Jolig
Claimant Lawyers(s): Ethan Andrew Brecher
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Keely D. Parr, Kellisia Hazlewood, Rick Rutman
Hearing Site: New York, NY
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| 23-00020 | 05/24/2023 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Robert Fitzpatrick
Respondent(s): Samuel Girgiss
Respondent Lawyers(s): Samuel Girgiss
Arbitrator(s): Albert Rizzo
Hearing Site: New York, NY
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