| 19-00231 | 07/27/2022 | Claimant(s): Goldman, Sachs and Company, The Goldman Sachs Group.
Claimant Lawyers(s): Robert A. Sacks
Respondent(s): Tim Leissner
Respondent Lawyers(s): Henry E. Mazurek
Arbitrator(s): Jeffrey L. Malek, Daniel R. Brush, Andrew W. Levin
Hearing Site: Los Angeles, CA
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| 21-02461 | 07/27/2022 | Claimant(s): Patrick Lam
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Lincoln Financial Distributors.
Respondent Lawyers(s): Michael W. Arnold
Arbitrator(s): Minnie Loo
Hearing Site: San Francisco, CA
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| 21-02828 | 07/27/2022 | Claimant(s): Eric Schmidt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Michael W. Arnold
Arbitrator(s): Ira A. Auerbach
Hearing Site: New York, NY
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| 17-02814 | 07/26/2022 | Claimant(s): Mid Atlantic Capital Corporation
Claimant Lawyers(s): Erin Timmerman
Respondent(s): Craig Hayward
Respondent Lawyers(s): Giovanni M. Ruscitti
Arbitrator(s): Donald N. Tolin, Martha Jeanne Wilcoxson, Richard Djokic
Hearing Site: Denver, CO
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| 21-00097 | 07/25/2022 | Claimant(s): Shawn Waked, Theresa Stone, Maestro Global
Claimant Lawyers(s): Reagan D. Pratt
Respondent(s): Raymond James Financial Services., Securities America., Jane Terry, Kathleen Kerr, Kirk Bell, Timothy Rivera
Respondent Lawyers(s): Gregory M. Curley, Peter S. Fruin, Scott C. Matasar
Arbitrator(s): Helen Marinak Blohm, Gene R Thornton, Jonathan H. Krotinger
Hearing Site: Albuquerque, NM
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| 21-02355 | 07/25/2022 | Claimant(s): Randy Nelson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Leyla Bari
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 21-02994 | 07/25/2022 | Claimant(s): Jaime Musa
Claimant Lawyers(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 22-00235 | 07/25/2022 | Claimant(s): Shawn Bivens
Claimant Lawyers(s): Christopher H Tovar
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrew M. DeLucia
Arbitrator(s): G. Maynard Green, Jude A Smith, Christopher Allen
Hearing Site: Houston, TX
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| 20-02678 | 07/22/2022 | Claimant(s): Brian Mulvey
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): John Francis Markuns
Hearing Site: Boston, MA
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| 21-02604 | 07/22/2022 | Claimant(s): Paul Habib
Claimant Lawyers(s): Paul George Habib
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Jack Friedman, Dean Burrell, Jason Pickholz
Hearing Site: Jersey City, NJ
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