| 21-01761 | 11/07/2022 | Claimant(s): Carlos Legaspy
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Insight Securities.
Respondent Lawyers(s): James Gaafar
Arbitrator(s): Lawrence W. Arness, Marilee Roberg, Seymour Andrew Newman
Hearing Site: Chicago, IL
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| 21-02393 | 11/07/2022 | Claimant(s): Jerry Mathew
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Patricia M. Bottoms, Ronald G. Guida, Gregory G. Gocek
Hearing Site: Denver, CO
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| 22-00167 | 11/07/2022 | Claimant(s): John Schmidt
Claimant Lawyers(s): John Gregory Schmidt
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Stephen P. Calardo, Gary B. Deutsch, Joseph Patrick Cottingham
Hearing Site: Cincinnati, OH
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| 22-00249 | 11/07/2022 | Claimant(s): Kyle Dunning
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Dain Rauscher Incorporated
Respondent Lawyers(s): Leyla Bari
Arbitrator(s): Katherine Hendricks
Hearing Site: Portland, OR
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| 22-00414 | 11/07/2022 | Claimant(s): Kenneth South
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Mario H. Metzger, Michael Harrison, Anita Rae Shapiro
Hearing Site: Los Angeles, CA
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| 22-00556 | 11/07/2022 | Claimant(s): Michael Patti
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Raleigh, NC
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| 22-00709 | 11/07/2022 | Claimant(s): Robert Krieger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Clive I. Morrick
Hearing Site: New York, NY
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| 21-02996 | 11/04/2022 | Claimant(s): Sameh Elmazahy
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Charlton Young
Arbitrator(s): Bryan Lane Berson, Lorrie E Whitfield, Lynda Kommel-Browne
Hearing Site: New York, NY
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| 22-00444 | 11/04/2022 | Claimant(s): Doel Garcia Romero
Claimant Lawyers(s): Ubaldo M. Fernandez
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 22-00481 | 11/03/2022 | Claimant(s): Neil Gagnon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Gilder Gagnon Howe & Co. LLC
Respondent Lawyers(s): Elizabeth Curran
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
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