| 22-00838 | 09/20/2022 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jeanette E. Dennis
Respondent(s): Ross Fabregas
Respondent Lawyers(s): Ross Ramon Fabregas
Arbitrator(s): Robert Titus
Hearing Site: Albany, NY
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| 21-02439 | 09/19/2022 | Claimant(s): Clark Brothers Investments
Claimant Lawyers(s): Jason R. Clark
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Robyn C. Crowther
Arbitrator(s): Langdon T. Owen, Margaret Ann Barrington, Carol L. Roslund
Hearing Site: Denver, CO
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| 19-01933 | 09/16/2022 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Miles D. Hart
Respondent(s): Robin Johnson
Respondent Lawyers(s): Robin K. Johnson
Arbitrator(s): Jeffry M. Bauer, Lynn Hirschfeld Brahin, Earlene R. Baggett-Hayes
Hearing Site: Detroit, MI
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| 20-03234 | 09/15/2022 | Claimant(s): Raymond Borota
Claimant Lawyers(s): Jennifer Farrar
Respondent(s): J. Gregory & Company., Salomon Grey Financial Corporation
Respondent Lawyers(s): Corporate Office, Kyle Rowe
Arbitrator(s): Nicholas John Taldone
Hearing Site: Tampa, FL
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| 21-01299 | 09/15/2022 | Claimant(s): Mark Creason
Claimant Lawyers(s): Lisanne M. Butterfield
Respondent(s): Colorado Financial Service Corporation
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Jan Glenn Valecka, Thomas W. Allen, Ross B. Russell
Hearing Site: Dallas, TX
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| 22-00279 | 09/15/2022 | Claimant(s): David McGill
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Parkland Securities
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Carl E. Ver Beek, Robert David Epstein, David Joseph Remondini
Hearing Site: Indianapolis, IN
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| 22-00416 | 09/15/2022 | Claimant(s): Kenneth South
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William H. Badinelli
Arbitrator(s): Erik R. Siering, Noel Harvey Applebaum, Daniel Farid Yasharel
Hearing Site: Los Angeles, CA
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| 22-00541 | 09/15/2022 | Claimant(s): Christian Maeder
Claimant Lawyers(s): Sarah Ali Burroughs
Respondent(s): Edward Jones
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
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| 22-00562 | 09/15/2022 | Claimant(s): William Serralles
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
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| 19-00859 | 09/13/2022 | Claimant(s): Terence Dolan, Benjamin & Jerold Brokerage I
Claimant Lawyers(s): Warren A. Raiti
Respondent(s): Cowen and Company
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): James M. Rhodes, Mitchell Regenbogen, Robert Lee Bull
Hearing Site: New York, NY
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