22-01675 | 05/04/2023 | Claimant(s): Willard Pugh Claimant Lawyers(s): Samantha Pastor Respondent(s): National Securities Corporation Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): Seth L. Finkel Hearing Site: Boca Raton, FL
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22-00803 | 05/04/2023 | Claimant(s): Norman D'Silva Claimant Lawyers(s): Dochtor Kennedy Respondent(s): PFS Investments Inc. Respondent Lawyers(s): Marva Graham Arbitrator(s): John James McGovern Hearing Site: Manchester, NH
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21-03115 | 05/04/2023 | Claimant(s): Jerry Willoughby, John Disosway, Sylvia Majani, Victor Hooper, John Disosway & Sylvia Majani, Vickie L. Earle Trust, Victor J. Hooper Irrevocable Trust FBO Claimant Lawyers(s): John S. Chapman Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): William E. Mahoney Arbitrator(s): Gayle B. Carlson, Anthony Richard Sanchez, Edgar Vazquez-Cruz Hearing Site: Orlando, FL
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22-01047 | 05/03/2023 | Claimant(s): Michael Lastihenos Claimant Lawyers(s): Seth N. Bursky Respondent(s): Ladenburg Capital Management Inc. Respondent Lawyers(s): Richard J. Rosenstock Arbitrator(s): Peter A. Goldman, Howard L. Sobel, Anthony J Casino Hearing Site: New York, NY
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22-02050 | 05/03/2023 | Claimant(s): Shawn Burke Claimant Lawyers(s): Brandon M. Taaffe Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Jason Kempf Arbitrator(s): Michael L. Fortney, Stephen M. Bales, David Arnold Hearing Site: Cleveland, OH
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22-02319 | 05/03/2023 | Claimant(s): Timothy Kneen Claimant Lawyers(s): James P Galvin Respondent(s): UBS Financial Services Inc., Citigroup Global Markets. Respondent Lawyers(s): Adam M. Kauff, John Murphy Arbitrator(s): Leonard Arthur Nelson, Tosh Daniel Grebenik, Matthew Stalcup Hearing Site: Denver, CO
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22-02151 | 05/02/2023 | Claimant(s): Dennis Karjanis Claimant Lawyers(s): Craig A Riha Respondent(s): National Securities Corporation Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): Philip S. Wellman, Peter E. Gillespie, David Adams Reif Hearing Site: Hartford, CT
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22-02209 | 05/02/2023 | Claimant(s): Angel Canabal Claimant Lawyers(s): Roberto C. Quinones-Rivera Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina Velez Arbitrator(s): Martin A. Feigenbaum Hearing Site: San Juan, PR
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22-02934 | 05/02/2023 | Claimant(s): Joseph Dalton Claimant Lawyers(s): Aleaha N. Jones Respondent(s): Belle Haven Investments, L.P. Respondent Lawyers(s): Paul J. Bazil Arbitrator(s): Selma Moy Hearing Site: New York, NY
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22-01870 | 05/01/2023 | Claimant(s): Byron Crowe Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Advanced Equities. Respondent Lawyers(s): Byron Crowe Arbitrator(s): Theodore W. Wrobleski Hearing Site: Chicago, IL
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