| 22-01454 | 03/24/2023 | Claimant(s): Todd Sacks
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Michael H DuBoff
Hearing Site: Jersey City, NJ
| | |
| 22-02320 | 03/24/2023 | Claimant(s): Timothy Kneen
Claimant Lawyers(s): James P Galvin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Frances Johnson Wright
Hearing Site: Denver, CO
| | |
| 21-00243 | 03/24/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Keith J. Barnett
Respondent(s): Jaylon Ellison
Respondent Lawyers(s): William R. Carlisle
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
| | |
| 22-02149 | 03/24/2023 | Claimant(s): James Roberson
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Earle J. Schwarz
Hearing Site: Birmingham, AL
| | |
| 22-00894 | 03/24/2023 | Claimant(s): Shane Vandalen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Christopher J. Murdoch
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
| | |
| 18-03175 | 03/23/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): G. Thomas Fleming
Respondent(s): Robert Dressler, Yuen Lin Chan
Respondent Lawyers(s): G. Thomas Fleming, Neil L. Henrichsen
Arbitrator(s): Daniel M. Yamshon, Clifford A. Threlkeld, Elizabeth Dye Battaglia
Hearing Site: San Francisco, CA
| | |
| 22-02318 | 03/22/2023 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Robert Rabinowitz
Respondent(s): Tariq Sales
Respondent Lawyers(s): Tariq Muhammed Sales
Arbitrator(s): David Sorokoff
Hearing Site: New York, NY
| | |
| 23-00026 | 03/22/2023 | Claimant(s): John Jacobs
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Susanne J. Hollander
Hearing Site: Chicago, IL
| | |
| 22-01727 | 03/22/2023 | Claimant(s): Matthew Pullar
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): PNC Investments
Respondent Lawyers(s): Robert Whitman
Arbitrator(s): Tracy L. Allen
Hearing Site: Cleveland, OH
| | |
| 22-01816 | 03/17/2023 | Claimant(s): Robert Stanlick
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Piper Jaffray & Co., Geneos Wealth Management
Respondent Lawyers(s): Bridget Larsen, Victoria H. Buter
Arbitrator(s): Tina Alison Davis, Douglas Lou Dombey, Fernando Lugo
Hearing Site: Denver, CO
| | |
