| 21-03031 | 04/19/2023 | Claimant(s): Meredith Campbell
Claimant Lawyers(s): Michael Bessette
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Jeffrey Richard Chiappetta, Julie Marie Miller, Albert Bates Wenzell
Hearing Site: Dallas, TX
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| 22-01679 | 04/19/2023 | Claimant(s): Parker Brickley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Jill Pilgrim
Hearing Site: New York, NY
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| 21-02170 | 04/19/2023 | Claimant(s): Arnie Di Cioccio, Kevin Griffin, Yousef Abuhakmeh
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Thomas M. Amadio, Eric Goldman, Edmund Timothy Donovan
Hearing Site: New York, NY
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| 22-01991 | 04/19/2023 | Claimant(s): Magda Broco Rodriguez
Claimant Lawyers(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Nancy J. Cliff
Hearing Site: San Juan, PR
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| 20-04075 | 04/19/2023 | Claimant(s): Truist Investment Services.
Claimant Lawyers(s): John E MacDonald
Respondent(s): Michael Hudgins
Respondent Lawyers(s): Henry I. Willett
Arbitrator(s): Thomas P. Talbot, Overman Randolph Rollins, Paul Dimitri Georgiadis
Hearing Site: Richmond, VA
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| 21-02318 | 04/18/2023 | Claimant(s): Raymond, James & Associates., Michael Kuras, Patrick Marsh, Raymond James Financial.
Claimant Lawyers(s): Robert J. Becher
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): David G. Januszewski
Arbitrator(s): Brian R. Cohen, James M. Rhodes, Paul C. Tang
Hearing Site: New York, NY
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| 21-02504 | 04/18/2023 | Claimant(s): George Shadie
Claimant Lawyers(s): George R. Shadie
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Christopher J. Murdoch
Arbitrator(s): Fred W. Miller, Emily Kay Declercq, Cynthia Weiss
Hearing Site: Philadelphia, PA
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| 20-02093 | 04/18/2023 | Claimant(s): Jeremy Seidman, Jose Rodriguez-Villalobos, Mitchell Riesenberger, Simon Clarke
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): David S. Pegno
Arbitrator(s): Michael A. Orticelle, John R. Snyder, Merriann Panarella
Hearing Site: Boston, MA
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| 22-01442 | 04/14/2023 | Claimant(s): James Malloch
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Jeanette E. Dennis
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
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| 22-01813 | 04/14/2023 | Claimant(s): Troy Taylor
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
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