| 22-00948 | 12/21/2022 | Claimant(s): Nick Alexander
Claimant Lawyers(s): David Harrison
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
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| 22-01010 | 12/21/2022 | Claimant(s): Harry Armon
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
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| 22-00407 | 12/20/2022 | Claimant(s): Shannon Larson
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Michael J. Biondi
Arbitrator(s): Patricia Diane Muse, Virginia H. Wertz, Michael Kelley
Hearing Site: Phoenix, AZ
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| 22-01073 | 12/20/2022 | Claimant(s): Kunal Arora
Claimant Lawyers(s): Seth N. Bursky
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Eva H. Posman, Herbert N. Fishman, Thomas M. Madden
Hearing Site: New York, NY
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| 22-01249 | 12/20/2022 | Claimant(s): Stanley Cooper
Claimant Lawyers(s): Denis Dice
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Jim Geiger, Alan J. Blocher, Thomas R Nathan
Hearing Site: Philadelphia, PA
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| 22-01402 | 12/20/2022 | Claimant(s): Damien Bertucelli
Claimant Lawyers(s): Kimberly A. Koves
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Karimu F. Hill-Harvey, Richard R. Logsdon, Roger G. Young
Hearing Site: Tampa, FL
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| 20-00159 | 12/19/2022 | Claimant(s): William Barkow
Claimant Lawyers(s): Richard Roth
Respondent(s): Joseph Alagna, Stephan Stein, Joseph Gunnar & Co. LLC
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Daniel Robbins, Peter McClellan Wright, Vivian Rivera Drohan
Hearing Site: New York, NY
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| 22-00242 | 12/19/2022 | Claimant(s): Gregory McLean
Claimant Lawyers(s): Stuart E. Finer
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Greg Curley, Esq.
Arbitrator(s): Ira A. Auerbach
Hearing Site: Syracuse, NY
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| 22-00291 | 12/19/2022 | Claimant(s): Kerry Moy
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
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| 22-00560 | 12/19/2022 | Claimant(s): Erin Daniels
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BMO Harris Financial Advisors.
Respondent Lawyers(s): Maria L. Kreiter
Arbitrator(s): Floyd Gerry Hoffman
Hearing Site: Phoenix, AZ
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