| 22-01648 | 02/28/2023 | Claimant(s): Jed Kaplan
Claimant Lawyers(s): Harris Freedman
Respondent(s): Shearson Financial Services
Respondent Lawyers(s): Jed Kaplan
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: Boca Raton, FL
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| 22-02127 | 02/28/2023 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Jennifer R. Cox
Respondent(s): Timothy Phenecie
Respondent Lawyers(s): Timothy M. Phenecie
Arbitrator(s): Theresa Joan Rosenberg
Hearing Site: Charlotte, NC
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| 21-00567 | 02/28/2023 | Claimant(s): Truist Investment Services.
Claimant Lawyers(s): V. Justin Arpey
Respondent(s): James Goolsby
Respondent Lawyers(s): James Hobart Goosby
Arbitrator(s): Chandler R. Bridges, William Travis McKinney, Margaret F Roth
Hearing Site: Atlanta, GA
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| 22-01326 | 02/28/2023 | Claimant(s): Scott Kaup
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): VSR Financial Services.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Steven Meyrich, William (Bill) H. O'Donnell, Richard Djokic
Hearing Site: Omaha, NE
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| 21-01443 | 02/27/2023 | Claimant(s): George Don
Claimant Lawyers(s): Zachary Morse
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracy Gerber
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
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| 19-00948 | 02/27/2023 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Christopher Armstrong, Morgan Stanley, Randall Kiefner
Respondent Lawyers(s): Clinton W. Marrs, Thomas J. Momjian
Arbitrator(s): Catherine Stewart, Olugbenga Sopeju, Toni Anne Williams
Hearing Site: Jersey City, NJ
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| 22-00025 | 02/24/2023 | Claimant(s): Kevin Carroll
Claimant Lawyers(s): Kevin Joseph Carroll
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): John J. Mager, Robert M. Singer, Karen Kim
Hearing Site: Hartford, CT
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| 22-01721 | 02/22/2023 | Claimant(s): John Posey
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
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| 21-00109 | 02/22/2023 | Claimant(s): David Watkins
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Christopher Amo, UBS Financial Services Inc.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Carole R. Bernstein, Daniel Robbins, Charlane Brown
Hearing Site: New York, NY
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| 20-03946 | 02/22/2023 | Claimant(s): Juan Seoane
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Julian F. Santos, Veronica Ann Williams, Jennifer Lupo
Hearing Site: New York, NY
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