| 22-02286 | 11/18/2022 | Claimant(s): William Hennion
Claimant Lawyers(s): Jennifer Woods Burke
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Jennifer Woods Burke
Arbitrator(s): Sam Antar
Hearing Site: Jersey City, NJ
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| 20-00772 | 11/17/2022 | Claimant(s): Mark Damer, Damer Wealth Management LLC
Claimant Lawyers(s): Jacob M. O'Brien
Respondent(s): David A. Noyes & Company, Sanctuary Advisors LLC, Sanctuary Wealth Group LLC
Respondent Lawyers(s): Kevin C. Rasp
Arbitrator(s): Gary P. Price, Sherrill Wm Colvin, William Vance Hughes
Hearing Site: Indianapolis, IN
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| 22-00058 | 11/17/2022 | Claimant(s): Bhadresh Shah
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John Murphy, W. Preston Martin
Arbitrator(s): Robert Rosen, Adam Michael Porter, Yvonne YingFan Yiu
Hearing Site: Los Angeles, CA
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| 22-00657 | 11/17/2022 | Claimant(s): Brent Ure
Claimant Lawyers(s): James P Galvin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Louis M. Parker, Ann H. Nevers, Nancy Lynn Boyd
Hearing Site: Las Vegas, NV
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| 22-00672 | 11/16/2022 | Claimant(s): Julian Marturano
Claimant Lawyers(s): Brian Luther
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): John W. Eichleay
Hearing Site: Pittsburgh, PA
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| 22-00764 | 11/16/2022 | Claimant(s): Ralph Giansanti
Claimant Lawyers(s): Richard Slavin
Respondent(s): Harvest Capital LLC
Respondent Lawyers(s): Ralph Giansanti
Arbitrator(s): John J. Mager, Richard Hallett Nichol, Jud Perkins
Hearing Site: Hartford, CT
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| 22-00981 | 11/16/2022 | Claimant(s): Manuel Melendez
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey Medina
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 22-01006 | 11/16/2022 | Claimant(s): Sangeeta Singh
Claimant Lawyers(s): Sangeeta D Singh
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
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| 20-00670 | 11/15/2022 | Claimant(s): Christopher Burns
Claimant Lawyers(s): John David Singer
Respondent(s): Capital One Securities.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Joshua Mark Zucker, Steven Gary Leventhal, Michael David Blechman
Hearing Site: New York, NY
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| 22-00940 | 11/15/2022 | Claimant(s): Anthony Vito
Claimant Lawyers(s): Brian Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Arne R. Rode
Hearing Site: Chicago, IL
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