| 21-02318 | 04/18/2023 | Claimant(s): Raymond, James & Associates., Michael Kuras, Patrick Marsh, Raymond James Financial.
Claimant Lawyers(s): Robert J. Becher
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): David G. Januszewski
Arbitrator(s): Brian R. Cohen, James M. Rhodes, Paul C. Tang
Hearing Site: New York, NY
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| 21-02504 | 04/18/2023 | Claimant(s): George Shadie
Claimant Lawyers(s): George R. Shadie
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Christopher J. Murdoch
Arbitrator(s): Fred W. Miller, Emily Kay Declercq, Cynthia Weiss
Hearing Site: Philadelphia, PA
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| 20-02093 | 04/18/2023 | Claimant(s): Jeremy Seidman, Jose Rodriguez-Villalobos, Mitchell Riesenberger, Simon Clarke
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): David S. Pegno
Arbitrator(s): Michael A. Orticelle, John R. Snyder, Merriann Panarella
Hearing Site: Boston, MA
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| 22-01442 | 04/14/2023 | Claimant(s): James Malloch
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Jeanette E. Dennis
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
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| 22-01813 | 04/14/2023 | Claimant(s): Troy Taylor
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
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| 22-00892 | 04/13/2023 | Claimant(s): Joseph Crespi
Claimant Lawyers(s): Michael Bessette
Respondent(s): Advest., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Howard N. Gorney
Hearing Site: Providence, RI
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| 23-00171 | 04/13/2023 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Howard Rowen
Respondent Lawyers(s): Howard Steven Rowen
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
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| 23-00280 | 04/11/2023 | Claimant(s): Jeremy Keller
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Mark R. Lee
Hearing Site: Las Vegas, NV
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| 22-00889 | 04/11/2023 | Claimant(s): Mark Napolin, Michael Kiefer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Roger A. Geddes
Hearing Site: Albuquerque, NM
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| 22-02036 | 04/11/2023 | Claimant(s): Brian Stokes
Claimant Lawyers(s): Harris Freedman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
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