| 22-00805 | 01/23/2023 | Claimant(s): Steven Rose
Claimant Lawyers(s): Jeffrey Thomas
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Laurel Littman Gothelf, Bradley C. Mitchell, Clifford A. Threlkeld
Hearing Site: Reno, NV
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| 22-00912 | 01/23/2023 | Claimant(s): John Hess
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Roger M. Deitz
Hearing Site: New York, NY
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| 22-01072 | 01/20/2023 | Claimant(s): Jan Dyke
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Michael F. Jordan
Hearing Site: Milwaukee, WI
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| 22-01630 | 01/20/2023 | Claimant(s): Adam Epstein
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc., Sanford C. Bernstein & Co.
Respondent Lawyers(s): Eric A. Bensky, Omar Perez
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
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| 22-01681 | 01/19/2023 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Michael E. Rowe
Respondent(s): Brian Wurdemann
Respondent Lawyers(s): Brian M. Wurdemann
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
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| 22-01067 | 01/18/2023 | Claimant(s): Arlo Sullivan
Claimant Lawyers(s): Zachary Morse
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
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| 20-02339 | 01/17/2023 | Claimant(s): Morgan Stanley, MSSB Financing LLC
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Damian Baird
Respondent Lawyers(s): Damian Mark Baird
Arbitrator(s): Alan Kenneth Scheff, Mark A. Sipper, Joseph Maron Hanna
Hearing Site: Buffalo, NY
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| 22-00659 | 01/17/2023 | Claimant(s): James Kinsey
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): LPL Financial LLC, BB&T Investment Services.
Respondent Lawyers(s): Ella Beres, Rochelle Mayfield
Arbitrator(s): Robert T. Allen, Richard James Igou, Jay Jordan
Hearing Site: Charlotte, NC
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| 22-01035 | 01/13/2023 | Claimant(s): William Sammons
Claimant Lawyers(s): Steven J. Berry
Respondent(s): Prudential Equity Group, Morgan Stanley
Respondent Lawyers(s): Jennifer E. Novoselsky, Kathleen Salvaty
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
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| 22-01316 | 01/13/2023 | Claimant(s): David Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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