| 20-03957 | 02/02/2023 | Claimant(s): James Garrity
Claimant Lawyers(s): Barry R. Lax
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Scott J. Splittgerber
Arbitrator(s): Martin V. Franks, Marni E. Byrum, Julius P. Terrell
Hearing Site: Washington, DC
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| 22-00410 | 02/01/2023 | Claimant(s): Kenneth South
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William H. Badinelli
Arbitrator(s): A. Joel Klein, Benjamin F. Breslauer, Richard Maurice Robinson
Hearing Site: Los Angeles, CA
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| 22-00559 | 01/31/2023 | Claimant(s): David Brooks
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cardinal Investments.
Respondent Lawyers(s): Timothy C. Stubblefield
Arbitrator(s): James M. Stern
Hearing Site: St. Louis, MO
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| 22-01621 | 01/31/2023 | Claimant(s): JBJ Financial LLC DBA MassMutual TriStat
Claimant Lawyers(s): Brian Singleton
Respondent(s): John Goodwin
Respondent Lawyers(s): John Knox Goodwin
Arbitrator(s): Louis H Miron
Hearing Site: Jersey City, NJ
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| 17-00299 | 01/30/2023 | Claimant(s): Wells Fargo Advisors, Wells Fargo Clearing Services, Kyle Herrman, Renee Crittenden
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Commerce Brokerage Services.
Respondent Lawyers(s): Corey Franklin
Arbitrator(s): Leah Murray Albert, Barry Goldman, Jane Cohen
Hearing Site: St. Louis, MO
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| 21-00816 | 01/30/2023 | Claimant(s): Bruce Ryan, Richard Kreger, RHK Capital
Claimant Lawyers(s): Richard Slavin
Respondent(s): Susan Lemoine, William McCance, Advisory Group Equity Services Ltd., Trust Advisory Group LTD
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): Edward W. Morris, Christian Leslie Billet, Jay Alan Kranis
Hearing Site: New York, NY
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| 22-00172 | 01/30/2023 | Claimant(s): Kevin Mahoney
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Catherine Stewart
Hearing Site: Manchester, NH
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| 22-01138 | 01/30/2023 | Claimant(s): Jason Lee
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
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| 20-02226 | 01/27/2023 | Claimant(s): Matthew Stucke
Claimant Lawyers(s): Craig H. Kuglar
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): George L. Guerra
Arbitrator(s): Gia B. Compton, Mitchel Weiss, Susan Warshauer Kennicott
Hearing Site: Atlanta, GA
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| 22-00640 | 01/27/2023 | Claimant(s): Michael Graziani, Robert Loupee
Claimant Lawyers(s): Robert E. Loupee
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michelle M. Wezner
Arbitrator(s): Michele Renee Zinn, Marcy Hahn, Lee Ruben LeRoy
Hearing Site: Detroit, MI
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