| 23-00164 | 04/06/2023 | Claimant(s): Josef Najar
Claimant Lawyers(s): David E. Robbins
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): G. Wayne Hillis, Jr.
Arbitrator(s): Fred S. Pieroni, Edward W. Morris, Joanne Basso Mack
Hearing Site: New York, NY
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| 22-01863 | 04/04/2023 | Claimant(s): Cheryl Blakey
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): N. Nancy Ghabai
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Wilmington, DE
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| 21-00961 | 04/04/2023 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michelle M. Wezner
Respondent(s): Craig Lewis
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Lucy J. Karl, Gene M. Bauer, Paula M. Bagger
Hearing Site: Boston, MA
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| 22-01742 | 04/03/2023 | Claimant(s): David Wilson
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Robert W. Baird & Co. Incorporated, First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden, Todd A. Holleman
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Detroit, MI
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| 21-02745 | 03/31/2023 | Claimant(s): Jonathon Merickel
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): E*Trade Securities LLC, Laura Catalano
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Lawrence W. Arness, Lynn Hirschfeld Brahin, Bernadett R DeLise
Hearing Site: Chicago, IL
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| 22-02238 | 03/31/2023 | Claimant(s): Joseph Bowden
Claimant Lawyers(s): James P. Galvin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
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| 21-00487 | 03/31/2023 | Claimant(s): Christopher Watkins, Douglas Obradovich
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Barry Goldman, Jeffrey M. Bain, Joseph Patrick Cottingham
Hearing Site: Louisville, KY
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| 22-02226 | 03/31/2023 | Claimant(s): Angel Canabal
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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| 22-01678 | 03/31/2023 | Claimant(s): Dennis Thurman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Gregory G. Gocek
Hearing Site: Omaha, NE
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| 22-02307 | 03/30/2023 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Robert Rabinowitz
Respondent(s): Eric Baron
Respondent Lawyers(s): Eric Scott Baron
Arbitrator(s): Roger M. Deitz
Hearing Site: New York, NY
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