| 22-00465 | 02/02/2023 | Claimant(s): Jennifer Johnston
Claimant Lawyers(s): Harris Freedman
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
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| 22-01745 | 02/02/2023 | Claimant(s): John Smith
Claimant Lawyers(s): John Lee Smith
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Paul Lansing, Gregory Hunter Mathews, James Douglas Wilbanks
Hearing Site: Louisville, KY
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| 20-03069 | 02/02/2023 | Claimant(s): Patrick Esparrago
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Rory M. McLaughlin
Hearing Site: New York, NY
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| 22-02143 | 02/02/2023 | Claimant(s): McNally Financial Services Corporation
Claimant Lawyers(s): David D. McNally
Respondent(s): Lawrence Goldstein
Respondent Lawyers(s): Frank C. Gilmore
Arbitrator(s): Paul H. Lamboley
Hearing Site: Reno, NV
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| 20-02796 | 02/02/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Vatsala Sahay
Respondent(s): Raymond James Financial Services., Kent Rhoades
Respondent Lawyers(s): Matthew B. Baum
Arbitrator(s): Scott T. Clavenna, Kim L. Kirn, Julie Marie Miller
Hearing Site: Little Rock, AR
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| 20-03957 | 02/02/2023 | Claimant(s): James Garrity
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Scott J. Splittgerber
Arbitrator(s): Martin V. Franks, Marni E. Byrum, Julius P. Terrell
Hearing Site: Washington, DC
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| 22-00410 | 02/01/2023 | Claimant(s): Kenneth South
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William H. Badinelli
Arbitrator(s): A. Joel Klein, Benjamin F. Breslauer, Richard Maurice Robinson
Hearing Site: Los Angeles, CA
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| 22-00559 | 01/31/2023 | Claimant(s): David Brooks
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cardinal Investments.
Respondent Lawyers(s): Timothy C. Stubblefield
Arbitrator(s): James M. Stern
Hearing Site: St. Louis, MO
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| 22-01621 | 01/31/2023 | Claimant(s): JBJ Financial LLC DBA MassMutual TriStat
Claimant Lawyers(s): Brian Singleton
Respondent(s): John Goodwin
Respondent Lawyers(s): John Knox Goodwin
Arbitrator(s): Louis H Miron
Hearing Site: Jersey City, NJ
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| 17-00299 | 01/30/2023 | Claimant(s): Wells Fargo Advisors, Wells Fargo Clearing Services, Kyle Herrman, Renee Crittenden
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Commerce Brokerage Services.
Respondent Lawyers(s): Corey Franklin
Arbitrator(s): Leah Murray Albert, Barry Goldman, Jane Cohen
Hearing Site: St. Louis, MO
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