| 22-00768 | 11/29/2022 | Claimant(s): Fernando Panizzutti
Claimant Lawyers(s): Jonathan E Neuman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Christopher J. Klein, Ronald David Katz, Richard William Barry
Hearing Site: Boca Raton, FL
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| 22-00861 | 11/29/2022 | Claimant(s): Michael Ballard
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Madison Avenue Securities
Respondent Lawyers(s): Bradley Ziegler
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
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| 22-01867 | 11/29/2022 | Claimant(s): Jason Dworak
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Gregory G. Gocek
Hearing Site: Omaha, NE
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| 22-00522 | 11/28/2022 | Claimant(s): Michael Valiente
Claimant Lawyers(s): Zachary Morse
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
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| 22-00917 | 11/28/2022 | Claimant(s): Yan Binder
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Jeffrey D. Rodgers
Arbitrator(s): Stuart Bruce Klein, Robert G. Geeseman, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
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| 20-01934 | 11/25/2022 | Claimant(s): Jack Thomas
Claimant Lawyers(s): W. D. Masterson
Respondent(s): USAA Investment Services Company
Respondent Lawyers(s): David W. Erb
Arbitrator(s): James W. Kerr, John Kenneth Popham, Brian Patrick Ashley
Hearing Site: Dallas, TX
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| 22-01368 | 11/25/2022 | Claimant(s): Jennifer Scroggins
Claimant Lawyers(s): Lydia R. Zaidman
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Justin Sacca
Arbitrator(s): G. Maynard Green
Hearing Site: Houston, TX
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| 20-04131 | 11/22/2022 | Claimant(s): Intellivest Securities.
Claimant Lawyers(s): Daniel H. Kolber
Respondent(s): Rethink Community, Rethink Management
Respondent Lawyers(s): Eric Jon Taylor
Arbitrator(s): Perry Lee Taylor, Barbara Black, John D Sours
Hearing Site: Atlanta, GA
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| 21-02227 | 11/22/2022 | Claimant(s): Erin Reeve
Claimant Lawyers(s): Isaac Ruiz
Respondent(s): Kevin Skogen, Mainspring Wealth Advisors LLC
Respondent Lawyers(s): Lisanne M. Butterfield
Arbitrator(s): Joseph C. Roberts, Katherine Hendricks, Timothy Cooke Vail
Hearing Site: Seattle, WA
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| 20-02447 | 11/21/2022 | Claimant(s): Trevor Perry
Claimant Lawyers(s): Harris Freedman
Respondent(s): J.P. Morgan Institutional Investments In
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): John P. Cullem, Kenneth R. Starr, Audrey Belitz Rauchway
Hearing Site: Tampa, FL
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