| 22-00938 | 12/23/2022 | Claimant(s): Steven Maurer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Nichols, Safina, Lerner & Co. Inc., Josephthal & Co..
Respondent Lawyers(s): CT Corporate Systemoration Service Company
Arbitrator(s): Veronica Ann Williams
Hearing Site: New York, NY
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| 22-00531 | 12/22/2022 | Claimant(s): Derrick Andrews
Claimant Lawyers(s): Samantha Pastor
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle B. Mayfield
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Reno, NV
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| 22-00723 | 12/22/2022 | Claimant(s): Julian Marturano
Claimant Lawyers(s): Brian Luther
Respondent(s): Equitable Advisors, Woodbury Financial Services.
Respondent Lawyers(s): Jennifer R. Cox, Michael J. Biondi
Arbitrator(s): Douglas M. Branson
Hearing Site: Pittsburgh, PA
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| 22-00937 | 12/22/2022 | Claimant(s): Carlos Pou
Claimant Lawyers(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Elena G. Rodriguez
Hearing Site: San Juan, PR
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| 22-02260 | 12/22/2022 | Claimant(s): William Shreve
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Susan L. Walker
Hearing Site: Omaha, NE
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| 22-00948 | 12/21/2022 | Claimant(s): Nick Alexander
Claimant Lawyers(s): David Harrison
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
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| 22-01010 | 12/21/2022 | Claimant(s): Harry Armon
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
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| 22-00407 | 12/20/2022 | Claimant(s): Shannon Larson
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Michael J. Biondi
Arbitrator(s): Patricia Diane Muse, Virginia H. Wertz, Michael Kelley
Hearing Site: Phoenix, AZ
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| 22-01073 | 12/20/2022 | Claimant(s): Kunal Arora
Claimant Lawyers(s): Seth N. Bursky
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Eva H. Posman, Herbert N. Fishman, Thomas M. Madden
Hearing Site: New York, NY
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| 22-01249 | 12/20/2022 | Claimant(s): Stanley Cooper
Claimant Lawyers(s): Denis Dice
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Jim Geiger, Alan J. Blocher, Thomas R Nathan
Hearing Site: Philadelphia, PA
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