| 22-01067 | 01/18/2023 | Claimant(s): Arlo Sullivan
Claimant Lawyers(s): Zachary Morse
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
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| 20-02339 | 01/17/2023 | Claimant(s): Morgan Stanley, MSSB Financing LLC
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Damian Baird
Respondent Lawyers(s): Damian Mark Baird
Arbitrator(s): Alan Kenneth Scheff, Mark A. Sipper, Joseph Maron Hanna
Hearing Site: Buffalo, NY
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| 22-00659 | 01/17/2023 | Claimant(s): James Kinsey
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): LPL Financial LLC, BB&T Investment Services.
Respondent Lawyers(s): Ella Beres, Rochelle Mayfield
Arbitrator(s): Robert T. Allen, Richard James Igou, Jay Jordan
Hearing Site: Charlotte, NC
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| 22-01035 | 01/13/2023 | Claimant(s): William Sammons
Claimant Lawyers(s): Steven J. Berry
Respondent(s): Prudential Equity Group, Morgan Stanley
Respondent Lawyers(s): Jennifer E. Novoselsky, Kathleen Salvaty
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
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| 22-01316 | 01/13/2023 | Claimant(s): David Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 22-01812 | 01/13/2023 | Claimant(s): Stuart Chamberlin
Claimant Lawyers(s): Stuart Craig Chamberlin
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Deidre Wolff
Arbitrator(s): Bart Samuel Cohodas, Edward Alexander Jaffe, John B. Sochacki
Hearing Site: Boca Raton, FL
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| 18-04156 | 01/11/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Joshua Horn
Respondent(s): Stephen Pendergast
Respondent Lawyers(s): David R. Clouston
Arbitrator(s): Steven R. Rolnick, Catherine Stewart, Cynthia Catherine Anger
Hearing Site: Hartford, CT
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| 22-01659 | 01/11/2023 | Claimant(s): Margaret Wiley
Claimant Lawyers(s): Bryan Ward
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Edward R. Hipp, Michael J. Ahlstrom, John D. Mattingly
Hearing Site: Norfolk, VA
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| 22-00412 | 01/10/2023 | Claimant(s): Kenneth South
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Ronald L. Cameron, Blaine Smith, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
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| 18-01824 | 01/09/2023 | Claimant(s): Betsy Merritt, Joseph Singleton
Claimant Lawyers(s): Steve A. Buchwalter
Respondent(s): Janice Cartwright, John Cartwright
Respondent Lawyers(s): Johnny L. Antwiler
Arbitrator(s): Benjamin F. Breslauer, Thomas Mason Harwood, Eric Beatty
Hearing Site: Los Angeles, CA
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