| 22-02319 | 05/03/2023 | Claimant(s): Timothy Kneen
Claimant Lawyers(s): James P Galvin
Respondent(s): UBS Financial Services Inc., Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff, John Murphy
Arbitrator(s): Leonard Arthur Nelson, Tosh Daniel Grebenik, Matthew Stalcup
Hearing Site: Denver, CO
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| 22-02151 | 05/02/2023 | Claimant(s): Dennis Karjanis
Claimant Lawyers(s): Craig A Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Philip S. Wellman, Peter E. Gillespie, David Adams Reif
Hearing Site: Hartford, CT
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| 22-02209 | 05/02/2023 | Claimant(s): Angel Canabal
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 22-02934 | 05/02/2023 | Claimant(s): Joseph Dalton
Claimant Lawyers(s): Aleaha N. Jones
Respondent(s): Belle Haven Investments, L.P.
Respondent Lawyers(s): Paul J. Bazil
Arbitrator(s): Selma Moy
Hearing Site: New York, NY
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| 22-01870 | 05/01/2023 | Claimant(s): Byron Crowe
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Byron Crowe
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
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| 19-00105 | 05/01/2023 | Claimant(s): Raymond Jallow
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Carter Taylor, Charles Schwab & Co..
Respondent Lawyers(s): Gordon . C Young
Arbitrator(s): Sandra L. Malek, Camille Brown, Alina Landver
Hearing Site: Los Angeles, CA
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| 22-00654 | 04/28/2023 | Claimant(s): Troy Stine
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): A. G. Edwards & Sons., Cetera Advisor Networks LLC
Respondent Lawyers(s): David Feldstein, Deirdre Wolff
Arbitrator(s): Maryanne M. Esser, Irving Sylvester Moses, Stuart Diamond
Hearing Site: Houston, TX
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| 22-01910 | 04/28/2023 | Claimant(s): Justin Plante
Claimant Lawyers(s): Zachary Morse
Respondent(s): AIG Capital Services.
Respondent Lawyers(s): Michael S. Cargnel
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
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| 22-01452 | 04/27/2023 | Claimant(s): Joseph Alagna
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Joseph Gunnar & Co. LLC
Respondent Lawyers(s): Peter Bon Viso
Arbitrator(s): Lynne M. Reid-McQueen, Leslie Ruth Nydick, Brian John Gallagher
Hearing Site: New York, NY
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| 22-01878 | 04/26/2023 | Claimant(s): John Jenkins
Claimant Lawyers(s): Samantha Pastor
Respondent(s): SunAmerica Securities., QA3 Financial Corp.
Respondent Lawyers(s): Jennifer R. Cox, Thomas Zielinski
Arbitrator(s): Erik R. Siering
Hearing Site: San Diego, CA
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