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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