| 22-02135 | 12/05/2022 | Claimant(s): Harrison Hoyes
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
| | |
| 22-00151 | 12/02/2022 | Claimant(s): Gregory Feldman
Claimant Lawyers(s): Zachary Morse
Respondent(s): Lord Abbett Distributor LLC
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Nanci Sondra Landy
Hearing Site: Boca Raton, FL
| | |
| 22-01395 | 12/02/2022 | Claimant(s): Samuel Head
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Harvey R. Linder, Christopher Cecil Lamb, Larry Kenneth Lott
Hearing Site: Columbia, SC
| | |
| 19-02755 | 11/30/2022 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): John Carroll
Respondent Lawyers(s): John Francis Carroll
Arbitrator(s): Kimberly A. Gilmour, Dennis J. Levin, Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | |
| 22-00299 | 11/30/2022 | Claimant(s): Tyrone Chaplin
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Truist Investment Services.
Respondent Lawyers(s): Josef Y. Rosen
Arbitrator(s): Kelli J. Jareaux
Hearing Site: Washington, DC
| | |
| 22-00768 | 11/29/2022 | Claimant(s): Fernando Panizzutti
Claimant Lawyers(s): Jonathan E Neuman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Christopher J. Klein, Ronald David Katz, Richard William Barry
Hearing Site: Boca Raton, FL
| | |
| 22-00861 | 11/29/2022 | Claimant(s): Michael Ballard
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Madison Avenue Securities
Respondent Lawyers(s): Bradley Ziegler
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
| | |
| 22-01867 | 11/29/2022 | Claimant(s): Jason Dworak
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Gregory G. Gocek
Hearing Site: Omaha, NE
| | |
| 22-00522 | 11/28/2022 | Claimant(s): Michael Valiente
Claimant Lawyers(s): Zachary Morse
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
| | |
| 22-00917 | 11/28/2022 | Claimant(s): Yan Binder
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Jeffrey D. Rodgers
Arbitrator(s): Stuart Bruce Klein, Robert G. Geeseman, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
| | |
