| 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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| 21-01929 | 11/02/2022 | Claimant(s): Richard Sholty
Claimant Lawyers(s): Zachary Morse
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Sarah Malik
Arbitrator(s): Jeffrey E. Skogsbergh, Edith N. Dinneen, David Harvey Failer
Hearing Site: Los Angeles, CA
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| 22-00112 | 11/01/2022 | Claimant(s): Thomas Hine
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities Service Network
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Catherine Stewart
Hearing Site: Hartford, CT
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| 22-00224 | 11/01/2022 | Claimant(s): Peter Shanahan
Claimant Lawyers(s): Robert J. Moses
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Richard James Igou
Hearing Site: Charlotte, NC
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| 21-02870 | 10/31/2022 | Claimant(s): Douglas Osborn
Claimant Lawyers(s): Philip J. Weipert
Respondent(s): Concorde Investment Services
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
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| 22-00173 | 10/31/2022 | Claimant(s): Stuart Updegrove
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation, Eastbrook Capital Group LLC
Respondent Lawyers(s): Edward Sampson, Emily A. Hayes
Arbitrator(s): Eugene G. P. Byrne, Mark Joseph Hyland
Hearing Site: New York, NY
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