| 21-00816 | 01/30/2023 | Claimant(s): Bruce Ryan, Richard Kreger, RHK Capital
Claimant Lawyers(s): Richard Slavin
Respondent(s): Susan Lemoine, William McCance, Advisory Group Equity Services Ltd., Trust Advisory Group LTD
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Edward W. Morris, Christian Leslie Billet, Jay Alan Kranis
Hearing Site: New York, NY
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| 22-00172 | 01/30/2023 | Claimant(s): Kevin Mahoney
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Catherine Stewart
Hearing Site: Manchester, NH
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| 22-01138 | 01/30/2023 | Claimant(s): Jason Lee
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
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| 20-02226 | 01/27/2023 | Claimant(s): Matthew Stucke
Claimant Lawyers(s): Craig H. Kuglar
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): George L. Guerra
Arbitrator(s): Gia B. Compton, Mitchel Weiss, Susan Warshauer Kennicott
Hearing Site: Atlanta, GA
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| 22-00640 | 01/27/2023 | Claimant(s): Michael Graziani, Robert Loupee
Claimant Lawyers(s): Robert E. Loupee
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michelle M. Wezner
Arbitrator(s): Michele Renee Zinn, Marcy Hahn, Lee Ruben LeRoy
Hearing Site: Detroit, MI
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| 22-01253 | 01/27/2023 | Claimant(s): Amie Fielder
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Arvest Wealth Management
Respondent Lawyers(s): Jennifer B. Puckett
Arbitrator(s): Gregory G. Gocek
Hearing Site: Kansas City, MO
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| 22-01753 | 01/27/2023 | Claimant(s): Don Rudolph
Claimant Lawyers(s): James P. Galvin
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Michael J. Ahlstrom, Michael J. Pasquale, Paul Nicholas Inserra
Hearing Site: Raleigh, NC
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| 22-00755 | 01/26/2023 | Claimant(s): David Brooks
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities Service Network
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Philip J. Glick
Hearing Site: St. Louis, MO
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| 22-00165 | 01/25/2023 | Claimant(s): Jeffrey Davis
Claimant Lawyers(s): Avionam Rosenfeld
Respondent(s): Kovack Securities Inc, Harvest Capital LLC
Respondent Lawyers(s): Amy Towle, Ralph Giansanti
Arbitrator(s): Dale S. Cronnell, Steven R. Rolnick, Andrea Joan Harman
Hearing Site: Hartford, CT
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| 22-01505 | 01/25/2023 | Claimant(s): David Calderon
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): Arthur Neil Tolciss, Cheryl Catherine McLarin, Alan Steven Mittleman
Hearing Site: New York, NY
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