| 22-00781 | 02/10/2023 | Claimant(s): Brett Millsap
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Avery B. Goodman
Hearing Site: Des Moines, IA
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| 21-02760 | 02/10/2023 | Claimant(s): James Moniz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Signator Investors.
Respondent Lawyers(s): Justin Sacca
Arbitrator(s): Howard N. Gorney
Hearing Site: Boston, MA
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| 22-00283 | 02/10/2023 | Claimant(s): Steven Jaenichen
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Ira A. Auerbach, Qiana Martin, Daniel D'Costa
Hearing Site: New York, NY
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| 22-00804 | 02/10/2023 | Claimant(s): Scott Reed
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Sanctuary Securities.
Respondent Lawyers(s): Kathleen A. DeLaney
Arbitrator(s): Barry Goldman, Robert L. Smith, David E. Bailey
Hearing Site: Indianapolis, IN
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| 22-00945 | 02/09/2023 | Claimant(s): Thomas Freeman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): David A. Schuler
Hearing Site: Kansas City, MO
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| 22-01390 | 02/09/2023 | Claimant(s): Michael Briese
Claimant Lawyers(s): Thomas J. Cahill
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Scott R. Koch
Arbitrator(s): Michael S. Lazan
Hearing Site: New York, NY
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| 22-01576 | 02/09/2023 | Claimant(s): William Crull
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons., FSC Securities Corporation
Respondent Lawyers(s): Deirdre Wolff, Justin Sacca
Arbitrator(s): Simeon B. Reimonenq
Hearing Site: New Orleans, LA
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| 22-01650 | 02/09/2023 | Claimant(s): Russell Mcalonie
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC, MML Investors Services
Respondent Lawyers(s): Julie E. Ravis, Sara B. Davis
Arbitrator(s): Gregory G. Gocek
Hearing Site: Cleveland, OH
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| 22-02142 | 02/07/2023 | Claimant(s): Peter Clark
Claimant Lawyers(s): Peter T. Clark
Respondent(s): CICC US Securities.
Respondent Lawyers(s): Janell Ahnert
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
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| 22-00616 | 02/07/2023 | Claimant(s): Anita Brennan
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
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