| 22-00707 | 03/09/2023 | Claimant(s): Laura Chao
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Edith N. Dinneen
Hearing Site: Los Angeles, CA
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| 22-02175 | 03/09/2023 | Claimant(s): Andrew Johnsen
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 22-01244 | 03/09/2023 | Claimant(s): Kelley Slaught
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael West
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
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| 19-02158 | 03/08/2023 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Patrick McCarthy
Respondent Lawyers(s): Pearl Zuchlewski
Arbitrator(s): Bernard A. Kesselman, Elizabeth Gilbert, William A. Rome
Hearing Site: New York, NY
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| 20-03838 | 03/08/2023 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Antoine Souma
Respondent Lawyers(s): Jeffrey K. Riffer
Arbitrator(s): Robert D. Sussin, Michael Craig Ditty, Elisabeth Celeste Camaur Crampton
Hearing Site: Los Angeles, CA
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| 20-00109 | 03/07/2023 | Claimant(s): Nicholas Low
Claimant Lawyers(s): Rogge Dunn
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Oren L. Connaway, Robert C. Rice, Mina Banerjee
Hearing Site: Houston, TX
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| 22-01474 | 03/06/2023 | Claimant(s): Paul Lamontanaro
Claimant Lawyers(s): Robert J. Hantman
Respondent(s): Joseph Stone Capital L.L.C.
Respondent Lawyers(s): James Vincent Pardy
Arbitrator(s): Thomas Caiaffa, Aaron Peron Ogletree, John Warner Lowe
Hearing Site: New York, NY
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| 22-01469 | 03/03/2023 | Claimant(s): Bradley Lott
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Charles A. Palmer
Hearing Site: Detroit, MI
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| 22-01788 | 03/03/2023 | Claimant(s): Loizos Kapnisi
Claimant Lawyers(s): James P. Galvin
Respondent(s): TIAA-CREF Individual & Institutional Svc
Respondent Lawyers(s): Julie Calderon Rizzo
Arbitrator(s): Jim Geiger
Hearing Site: Richmond, VA
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| 21-02584 | 03/03/2023 | Claimant(s): Jefferson Drada
Claimant Lawyers(s): Julius Adams
Respondent(s): Mutual Of Omaha Investor Services.
Respondent Lawyers(s): Trenten P. Bausch
Arbitrator(s): Roger C. Benson, Maurice M. Feller, Linda Louise Fagen-Persante
Hearing Site: Tampa, FL
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