| 22-02238 | 03/31/2023 | Claimant(s): Joseph Bowden
Claimant Lawyers(s): James P. Galvin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
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| 21-00487 | 03/31/2023 | Claimant(s): Christopher Watkins, Douglas Obradovich
Claimant Lawyers(s): Michael A. Valenti
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David J. Freniere
Arbitrator(s): Barry Goldman, Jeffrey M. Bain, Joseph Patrick Cottingham
Hearing Site: Louisville, KY
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| 22-02226 | 03/31/2023 | Claimant(s): Angel Canabal
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Nancy J. Cliff
Hearing Site: San Juan, PR
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| 22-01678 | 03/31/2023 | Claimant(s): Dennis Thurman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Gregory G. Gocek
Hearing Site: Omaha, NE
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| 22-02307 | 03/30/2023 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Robert Rabinowitz
Respondent(s): Eric Baron
Respondent Lawyers(s): Eric Scott Baron
Arbitrator(s): Roger M. Deitz
Hearing Site: New York, NY
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| 22-01608 | 03/30/2023 | Claimant(s): Michael Cifelli
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 22-02206 | 03/30/2023 | Claimant(s): Andrea Tessler, Seymour Zises
Claimant Lawyers(s): David I. Hantman
Respondent(s): Family Management Securities
Respondent Lawyers(s): Philip Frank
Arbitrator(s): Amy Jill Baranoff
Hearing Site: New York, NY
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| 22-00159 | 03/29/2023 | Claimant(s): Andrew Sukhin
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Morgan Stanley, Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff, Kimberly J. Gustafson
Arbitrator(s): Nanci Sondra Landy, Steven Barry Paskal, Annelise Sander
Hearing Site: Boca Raton, FL
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| 22-02308 | 03/29/2023 | Claimant(s): James Davenport
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Dustin J. Tirpak
Arbitrator(s): Richard J. Lawrence
Hearing Site: Salt Lake City, UT
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| 22-01746 | 03/27/2023 | Claimant(s): Patrick Cummings
Claimant Lawyers(s): Brian Neville
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pitzzotola
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Portland, OR
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