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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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