20-03771 | 05/19/2023 | Claimant(s): Truist Investment Services. Claimant Lawyers(s): John E. MacDonald Respondent(s): John Davis Respondent Lawyers(s): W. Wallace Respess Arbitrator(s): Robert Neal Hunter Hearing Site: Charlotte, NC
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21-00267 | 05/19/2023 | Claimant(s): The Huntington Investment Company Claimant Lawyers(s): Kevin Murch Respondent(s): Morgan Stanley, Frank Nobile, James Riepenhoff Respondent Lawyers(s): Jonathan C. Thau, Miles D. Hart Arbitrator(s): Emily J. Lewis, Nelson E. Genshaft, Susan Finefrock Hearing Site: Columbus, OH
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23-00568 | 05/19/2023 | Claimant(s): Nancy Matta Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Madelon M. Rosenfeld Hearing Site: New York, NY
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22-01600 | 05/19/2023 | Claimant(s): Carlos Pou Claimant Lawyers(s): Roberto Quinones Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina Velez Arbitrator(s): Barth Satuloff Hearing Site: San Juan, PR
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22-01303 | 05/19/2023 | Claimant(s): Kimberly Barentsen Claimant Lawyers(s): Jeffrey K. Compton Respondent(s): First Allied Securities., NPB Financial Group Respondent Lawyers(s): Jeremy Wooden, Shirley J. Coria Arbitrator(s): Philip Aaron Tymon, Nancy Lynne Williamson, Wendy L Schmidt Hearing Site: San Francisco, CA
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22-00545 | 05/19/2023 | Claimant(s): Maurice Wilde Claimant Lawyers(s): Maurice C. Wilde Respondent(s): Barry Sommers, Daniel Tumba, George Acevedo, J.P. Morgan Securities, Ian Fidler, Jamie Dimon, Mark LaRoe, Ricardo Penafiel, Salvatore Tiano, JPMorgan Distribution Services. Respondent Lawyers(s): Jeffrey S. Dunlap Arbitrator(s): Seth L. Finkel, Lucie L. Sabella, Pansy Mullings Hearing Site: Boca Raton, FL
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21-01534 | 05/18/2023 | Claimant(s): Raymond Potter Claimant Lawyers(s): Kevin T. Hoffman Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): Lloyd S. Clareman Arbitrator(s): Leslie Ruth Nydick, Thomas M. Madden, Rick Rutman Hearing Site: New York, NY
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22-00519 | 05/18/2023 | Claimant(s): Michael Herman Claimant Lawyers(s): Martin M. Berliner Respondent(s): Securities America., Hunter Wyckoff, Matthew Cloutier, Michael Baum, Mutual of Omaha Investor Services. Respondent Lawyers(s): Derek C. Anderson, Gregory M. Curley, Martin M. Berliner, Trenten P. Bausch Arbitrator(s): Steven M. Feder, Mary C. Davis, K. Bruce Lang Hearing Site: Denver, CO
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22-02412 | 05/18/2023 | Claimant(s): Raymond James Financial Services. Claimant Lawyers(s): Bruce W. Barnes Respondent(s): DeVere Dudley Respondent Lawyers(s): DeVere Scott Dudley Arbitrator(s): James F. Zotter Hearing Site: Seattle, WA
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22-01713 | 05/18/2023 | Claimant(s): Steven Zhou Claimant Lawyers(s): Samantha Pastor Respondent(s): JMP Securities LLC Respondent Lawyers(s): Andrew R. Livingston Arbitrator(s): Mary Margaret Bush Hearing Site: San Francisco, CA
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