| 22-00786 | 10/31/2022 | Claimant(s): Robert Tansey
Claimant Lawyers(s): Frederic M. Krieger
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Leyla Bari
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
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| 22-01464 | 10/31/2022 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Erin Friel Elmore
Respondent(s): Perry Skudlarczyk
Respondent Lawyers(s): Perry Lee Skudlarczyk
Arbitrator(s): G. Maynard Green
Hearing Site: Houston, TX
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| 21-00274 | 10/28/2022 | Claimant(s): Thomas Krauss
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): James McQuade
Arbitrator(s): Camille S. Cooper, Kenneth Paul Williams, Karen J. Orlin
Hearing Site: New York, NY
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| 22-00256 | 10/28/2022 | Claimant(s): Douglas Everett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services., Voya Financial Advisors.
Respondent Lawyers(s): Christina Vourakis, Howard M. Klausmeier
Arbitrator(s): Katherine Hendricks
Hearing Site: Portland, OR
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| 22-00454 | 10/28/2022 | Claimant(s): Carlos Ubinas Taylor
Claimant Lawyers(s): Ubaldo M. Fernandez-Barrera
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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| 22-00329 | 10/27/2022 | Claimant(s): Bobby James
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Momentum Independent Network
Respondent Lawyers(s): Edward Zusman
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 19-03604 | 10/26/2022 | Claimant(s): Daniel Parker, Edison Parker, Michael Brinton
Claimant Lawyers(s): Dennis J. Concilla
Respondent(s): Cary Street Partners
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): George Michael Cross, John G. Manley, Karl A. Vogeler
Hearing Site: Nashville, TN
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| 21-01326 | 10/26/2022 | Claimant(s): Blynn Masters
Claimant Lawyers(s): Craig H. Kuglar
Respondent(s): Don Milich, Raymond, James & Associates.
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Jeffrey Alperin
Hearing Site: Atlanta, GA
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| 21-02607 | 10/26/2022 | Claimant(s): Constantine Matsakis
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Matthew I. Penfield
Arbitrator(s): Nancy E. Watters, John L. Bruch, Cherelle K Donaldson
Hearing Site: Baltimore, MD
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| 22-00017 | 10/26/2022 | Claimant(s): Todd Gautreaux
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): Karen Roberts Washington
Hearing Site: New Orleans, LA
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