| 19-00948 | 02/27/2023 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Christopher Armstrong, Morgan Stanley, Randall Kiefner
Respondent Lawyers(s): Clinton W. Marrs, Thomas J. Momjian
Arbitrator(s): Catherine Stewart, Olugbenga Sopeju, Toni Anne Williams
Hearing Site: Jersey City, NJ
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| 22-00025 | 02/24/2023 | Claimant(s): Kevin Carroll
Claimant Lawyers(s): Kevin Joseph Carroll
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): John J. Mager, Robert M. Singer, Karen Kim
Hearing Site: Hartford, CT
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| 22-01721 | 02/22/2023 | Claimant(s): John Posey
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
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| 21-00109 | 02/22/2023 | Claimant(s): David Watkins
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Christopher Amo, UBS Financial Services Inc.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Carole R. Bernstein, Daniel Robbins, Charlane Brown
Hearing Site: New York, NY
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| 20-03946 | 02/22/2023 | Claimant(s): Juan Seoane
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Julian F. Santos, Veronica Ann Williams, Jennifer Lupo
Hearing Site: New York, NY
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| 20-03392 | 02/21/2023 | Claimant(s): NexTrend Securities.
Claimant Lawyers(s): Leland C. de la Garza
Respondent(s): Mark Cherlin, Scott Offerman, Sonya Gotz
Respondent Lawyers(s): David J. Abell, Leland C. de la Garza
Arbitrator(s): Bill Lamoreaux, Karen Roberts Washington, Tricia R DeLeon
Hearing Site: Dallas, TX
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| 22-00678 | 02/21/2023 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. LaPorta
Respondent(s): Kenneth Schaefer
Respondent Lawyers(s): Kenneth Gerard Schaefer
Arbitrator(s): Peter Svorinic, John James McGovern, Jud Perkins
Hearing Site: Providence, RI
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| 22-02279 | 02/17/2023 | Claimant(s): David Rojas
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
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| 22-00176 | 02/17/2023 | Claimant(s): Douglas Kobak
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Citigroup Global Markets., Coastal Equities.
Respondent Lawyers(s): Adam Kauff, Francis J. Skinner
Arbitrator(s): Fred W. Miller, Buzz Adelman, Kathleen Jones Spilker
Hearing Site: Philadelphia, PA
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| 22-01078 | 02/17/2023 | Claimant(s): Jason Burkett
Claimant Lawyers(s): Zachary Morse
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Frederick Ramos
Hearing Site: Cheyenne, WY
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