| 22-01150 | 02/07/2023 | Claimant(s): Patric Stibbe
Claimant Lawyers(s): Patric Stibbe
Respondent(s): T3 Trading Group
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): John J. Flynn, David I. Levine, Timothy P. Bogan
Hearing Site: San Francisco, CA
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| 20-02993 | 02/06/2023 | Claimant(s): John Orlando
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Blake Levy, Joseph Alagna, Stephan Stein, Joseph Gunnar & Co.
Respondent Lawyers(s): Peter Bon Viso
Arbitrator(s): Randy R Freedman, Jeffrey R. Roth, Carl Henry Perdue
Hearing Site: Boca Raton, FL
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| 22-01962 | 02/06/2023 | Claimant(s): Isabel Haigler
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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| 22-01280 | 02/06/2023 | Claimant(s): Billy Wong
Claimant Lawyers(s): Billy Wong
Respondent(s): Shearman, Ralston Inc.
Respondent Lawyers(s): Douglas P. Ralston
Arbitrator(s): Anna M. Fanelli, Lisa Lograno, Ai Ling Zhou
Hearing Site: New York, NY
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| 22-01404 | 02/02/2023 | Claimant(s): Jean Haas
Claimant Lawyers(s): Jason J. Kane
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Irving L. Faught, Karen Roberts Washington, Sally Jane Murray
Hearing Site: Oklahoma City, OK
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| 22-00465 | 02/02/2023 | Claimant(s): Jennifer Johnston
Claimant Lawyers(s): Harris Freedman
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
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| 22-01745 | 02/02/2023 | Claimant(s): John Smith
Claimant Lawyers(s): John Lee Smith
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Paul Lansing, Gregory Hunter Mathews, James Douglas Wilbanks
Hearing Site: Louisville, KY
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| 20-03069 | 02/02/2023 | Claimant(s): Patrick Esparrago
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Rory M. McLaughlin
Hearing Site: New York, NY
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| 22-02143 | 02/02/2023 | Claimant(s): McNally Financial Services Corporation
Claimant Lawyers(s): David D. McNally
Respondent(s): Lawrence Goldstein
Respondent Lawyers(s): Frank C. Gilmore
Arbitrator(s): Paul H. Lamboley
Hearing Site: Reno, NV
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| 20-02796 | 02/02/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Vatsala Sahay
Respondent(s): Raymond James Financial Services., Kent Rhoades
Respondent Lawyers(s): Matthew B. Baum
Arbitrator(s): Scott T. Clavenna, Kim L. Kirn, Julie Marie Miller
Hearing Site: Little Rock, AR
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