| 21-00286 | 02/01/2022 | Claimant(s): Ella Smith
Claimant Lawyers(s): Ella J. Smith
Respondent(s): John Hancock Distributors
Respondent Lawyers(s): Michael Mahoney
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
| | |
| 17-02495 | 01/31/2022 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Elizabeth H. Lindh
Respondent(s): Michael Margiotta
Respondent Lawyers(s): Steve Alan Buchwalter
Arbitrator(s): Paula K. Konikoff, George Herman Frisch, Jonathan Gartner
Hearing Site: Los Angeles, CA
| | |
| 21-01097 | 01/31/2022 | Claimant(s): Kurt Van Dyken, Ronald Bullis
Claimant Lawyers(s): Harris Freedman
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | |
| 21-02059 | 01/31/2022 | Claimant(s): Michael Hatch
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 20-02440 | 01/28/2022 | Claimant(s): Kenneth Williams
Claimant Lawyers(s): Kenneth L. Williams
Respondent(s): Spartan Capital Securities
Respondent Lawyers(s): Kim Monchik
Arbitrator(s): Cynthia A. DiMarco
Hearing Site: New York, NY
| | |
| 21-01500 | 01/28/2022 | Claimant(s): James Charbonneau
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): The Investment Center.
Respondent Lawyers(s): Douglas A. Wright
Arbitrator(s): John P. Cullem
Hearing Site: Columbia, SC
| | |
| 21-01685 | 01/28/2022 | Claimant(s): Paul Barr
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Robert J. Scafuri
Hearing Site: Des Moines, IA
| | |
| 21-01126 | 01/27/2022 | Claimant(s): David Trogan
Claimant Lawyers(s): Chelsea Masters
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John Murphy, Randi Perry Spallina
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | |
| 21-02027 | 01/27/2022 | Claimant(s): Paul DiPietro
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
| | |
| 21-00952 | 01/26/2022 | Claimant(s): Xavier Aguayo Diaz
Claimant Lawyers(s): Russell Del Toro Parra, III
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | |
