| 22-01253 | 01/27/2023 | Claimant(s): Amie Fielder
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Arvest Wealth Management
Respondent Lawyers(s): Jennifer B. Puckett
Arbitrator(s): Gregory G. Gocek
Hearing Site: Kansas City, MO
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| 22-01753 | 01/27/2023 | Claimant(s): Don Rudolph
Claimant Lawyers(s): James P. Galvin
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Michael J. Ahlstrom, Michael J. Pasquale, Paul Nicholas Inserra
Hearing Site: Raleigh, NC
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| 22-00755 | 01/26/2023 | Claimant(s): David Brooks
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities Service Network
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Philip J. Glick
Hearing Site: St. Louis, MO
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| 22-00165 | 01/25/2023 | Claimant(s): Jeffrey Davis
Claimant Lawyers(s): Avionam Rosenfeld
Respondent(s): Kovack Securities Inc, Harvest Capital LLC
Respondent Lawyers(s): Amy Towle, Ralph Giansanti
Arbitrator(s): Dale S. Cronnell, Steven R. Rolnick, Andrea Joan Harman
Hearing Site: Hartford, CT
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| 22-01505 | 01/25/2023 | Claimant(s): David Calderon
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): Arthur Neil Tolciss, Cheryl Catherine McLarin, Alan Steven Mittleman
Hearing Site: New York, NY
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| 22-00525 | 01/24/2023 | Claimant(s): John Zhang
Claimant Lawyers(s): Zachary Morse
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
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| 22-00686 | 01/24/2023 | Claimant(s): Gloria Barbier, Kevin Dooley
Claimant Lawyers(s): Harris Freedman
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Michael J. Biondi
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
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| 22-01400 | 01/24/2023 | Claimant(s): Harold Madison
Claimant Lawyers(s): James P. Galvin
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Michael Jeffrey Norton, Amani Amir Ali, Sophia C. Hassman
Hearing Site: Denver, CO
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| 20-03539 | 01/23/2023 | Claimant(s): Alan Niemann
Claimant Lawyers(s): William D. Kellen
Respondent(s): Brian Heapps
Respondent Lawyers(s): Spencer Smith
Arbitrator(s): Dennis S. Boxeur, Mark C Watler, Diane Shafer Goldschmidt
Hearing Site: Oklahoma City, OK
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| 22-00500 | 01/23/2023 | Claimant(s): Hai Xu
Claimant Lawyers(s): Marc D Schifanelli
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Jeffrey Axelrad
Hearing Site: Baltimore, MD
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