| 22-01555 | 03/16/2023 | Claimant(s): Jeffrey Weiner
Claimant Lawyers(s): Brian Kennedy
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): David Sorokoff, Clive I. Morrick, Andrew Robert Kosloff
Hearing Site: New York, NY
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| 22-00494 | 03/16/2023 | Claimant(s): Lee Boughner
Claimant Lawyers(s): William Scott Turnbull
Respondent(s): UBS Financial Services Inc., UBS Credit Corp.
Respondent Lawyers(s): Robert H. Bernstein
Arbitrator(s): Gerald Silverman, Michael B Goldstein, Nancy Rosenbaum Kessler
Hearing Site: Boca Raton, FL
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| 22-01665 | 03/16/2023 | Claimant(s): Henry Gallardo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Investors Capital Corp., Securian Financial Services.
Respondent Lawyers(s): David Feldstein, Lisa Stopfer
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Albuquerque, NM
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| 21-02364 | 03/15/2023 | Claimant(s): Craig Spry
Claimant Lawyers(s): Julie H. Fosbinder
Respondent(s): Truist Investment Services., Edmond Henley, BB&T Securities
Respondent Lawyers(s): Alexander M. Madrid
Arbitrator(s): Robert Neal Hunter, Frederick R. Benson, Erika Hunter
Hearing Site: Charlotte, NC
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| 22-02052 | 03/15/2023 | Claimant(s): William Serralles
Claimant Lawyers(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 22-01273 | 03/14/2023 | Claimant(s): Joseph Mrozienski
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lincoln Financial Distributors.
Respondent Lawyers(s): Michael W. Arnold
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Syracuse, NY
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| 22-02170 | 03/13/2023 | Claimant(s): Francisco Landivar
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 22-02103 | 03/13/2023 | Claimant(s): Ernest Musgrave
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
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| 22-02455 | 03/10/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Sara Soto
Respondent(s): Michael Boring
Respondent Lawyers(s): Michael Miller Boring
Arbitrator(s): Julian F. Santos
Hearing Site: Wilmington, DE
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| 20-03924 | 03/10/2023 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Ryan Hyslop
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
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