| 19-01077 | 02/25/2022 | Claimant(s): Erik Napp
Claimant Lawyers(s): Brian Kennedy
Respondent(s): BGC Financial, L.P.
Respondent Lawyers(s): Nirav S. Shah
Arbitrator(s): Rory M. McLaughlin, Lorraine Marie Brennan, Steven Bauer Malkenson
Hearing Site: New York, NY
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| 21-01373 | 02/25/2022 | Claimant(s): Ruben Tarkhanyan
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Assetmark Brokerage
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
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| 21-01480 | 02/25/2022 | Claimant(s): James Kennedy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): VSR Financial Services., Dominion Capital Corporation
Respondent Lawyers(s): David Feldstein, Douglas W. Powell
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 21-01552 | 02/25/2022 | Claimant(s): Richard Miller
Claimant Lawyers(s): Zachary Morse
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
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| 21-01746 | 02/25/2022 | Claimant(s): William Paschal
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones, A. G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolf, Jonathan W. Hackbarth
Arbitrator(s): Theodore Haynes
Hearing Site: Columbia, SC
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| 21-02952 | 02/25/2022 | Claimant(s): Alejandro Gonzalez
Claimant Lawyers(s): Thomas M. McHugh
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 21-02506 | 02/24/2022 | Claimant(s): Rei-Hou Wang
Claimant Lawyers(s): James P. Galvin
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Tina E. Patterson, Robert Paul Michaud, Angela C. Schulz
Hearing Site: Charlotte, NC
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| 20-01571 | 02/23/2022 | Claimant(s): Craig Breitsprecher, Breitsprecher and Associates LLC
Claimant Lawyers(s): Jonathan M. Shapiro
Respondent(s): Andrew Komarow, Komarow Financial Planning
Respondent Lawyers(s): Louis D. Tambaro
Arbitrator(s): Samuel H. Chorches, Cynthia Catherine Anger, Akwasi Agyeman
Hearing Site: Hartford, CT
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| 21-01406 | 02/23/2022 | Claimant(s): Elinor Ho
Claimant Lawyers(s): Tad Burton
Respondent(s): Vestax Securities Corporation
Respondent Lawyers(s): Corporate Office
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
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| 21-01501 | 02/23/2022 | Claimant(s): Mark Gelbman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Principal Securities.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): M W Gear
Hearing Site: Des Moines, IA
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