| 22-01470 | 05/10/2023 | Claimant(s): Jordan Varela
Claimant Lawyers(s): Daniel J. Donovan
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: San Diego, CA
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| 22-01450 | 05/10/2023 | Claimant(s): Stephan Stein
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Joseph Gunnar & Co. LLC
Respondent Lawyers(s): Peter Bon Viso
Arbitrator(s): Vincent C. Pangia, John Warner Lowe, James Carlone
Hearing Site: New York, NY
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| 22-01839 | 05/09/2023 | Claimant(s): Ronald Kuhn
Claimant Lawyers(s): Jessica E. Levine
Respondent(s): VSR Financial Services.
Respondent Lawyers(s): David Smitham
Arbitrator(s): Peter H. Daly, Arocles Aguilar, Bruce Swartout
Hearing Site: Honolulu, HI
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| 23-00553 | 05/09/2023 | Claimant(s): Brant Ferguson
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez Esq.
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 21-00240 | 05/08/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Keith Barnett
Respondent(s): Kimberly Barry
Respondent Lawyers(s): William R. Carlisle
Arbitrator(s): Harry G. Mason
Hearing Site: Atlanta, GA
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| 22-02016 | 05/08/2023 | Claimant(s): Joseph Fallarino
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Joseph Stone Capital L.L.C., Worden Capital Management LLC
Respondent Lawyers(s): Damian Maggio, Jamie J. Worden
Arbitrator(s): Thomas M. Amadio, Mary Julia O'Connell, Eric Goldman
Hearing Site: New York, NY
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| 22-01704 | 05/08/2023 | Claimant(s): Cary Kleinfield
Claimant Lawyers(s): Harris Freedman
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Gianluca Morello
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
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| 22-01926 | 05/08/2023 | Claimant(s): Robert Westropp
Claimant Lawyers(s): Eric A. Bensky
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sarah Zimmer
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
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| 22-00800 | 05/08/2023 | Claimant(s): Robert Sloan
Claimant Lawyers(s): Robert C Sloan
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): Jason Allen Rosner
Hearing Site: Boca Raton, FL
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| 22-01014 | 05/05/2023 | Claimant(s): Dmitry Netis
Claimant Lawyers(s): Shashi K. Dholandas
Respondent(s): Stephens Inc.
Respondent Lawyers(s): Allison Rhodes
Arbitrator(s): Richard W. Vallario, Melinda G Gordon, Marilyn Yang
Hearing Site: New York, NY
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