| 22-01684 | 05/22/2023 | Claimant(s): J.P. Morgan Securities
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Matthew Reynolds
Respondent Lawyers(s): John S. Monical
Arbitrator(s): Alexis Anne Washa, Matthew D Arbit, Matthew Lane
Hearing Site: Chicago, IL
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| 22-01993 | 05/22/2023 | Claimant(s): Peter Mirenda
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Joseph Stone Capital L.L.C., J. P. Turner & Company LLC, First Midwest Securities., North American Clearing.
Respondent Lawyers(s): Benjamin J. Biard, Damian Maggio, Kelly Sutton, Sandi Farr
Arbitrator(s): Warren A. Forest, Mauricio Arcadier, Shameeka E. Quallo
Hearing Site: Orlando, FL
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| 22-02205 | 05/22/2023 | Claimant(s): Sonia Pou Monagas
Claimant Lawyers(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
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| 20-01655 | 05/22/2023 | Claimant(s): Matthew Mooney, Williams Trading LLC
Claimant Lawyers(s): Dale G. Mullen, Matthew Brian Mooney
Respondent(s): Tourmaline Partners
Respondent Lawyers(s): Julia M. Jordan
Arbitrator(s): William James Pantele, Arthur B. O'Connell, JoAnne Lewis Nolte
Hearing Site: Richmond, VA
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| 22-02339 | 05/19/2023 | Claimant(s): Earl Marquardt
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Leon Fox
Hearing Site: Milwaukee, WI
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| 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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