| 20-02482 | 12/23/2021 | Claimant(s): Christopher Cowans
Claimant Lawyers(s): Seth I. Rubinson
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): David Wertz Ellis
Hearing Site: Boston, MA
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| 21-00779 | 12/23/2021 | Claimant(s): Jim Mui
Claimant Lawyers(s): Harris Freedman
Respondent(s): Prudential Equity Group, Raymond James Financial Services., Raymond, James & Associates., UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer E. Novoselsky, John Murphy, Robert M. Rudnicki
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
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| 21-01836 | 12/23/2021 | Claimant(s): Emily Chang
Claimant Lawyers(s): Michelle Atlas
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Shipra K. Rege
Arbitrator(s): Jonathan Polland
Hearing Site: San Francisco, CA
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| 19-01247 | 12/22/2021 | Claimant(s): Steven Mastrovich
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Carl W. Mills
Arbitrator(s): Thomas Caiaffa, Adam B. Lass, Lorrie E Whitfield
Hearing Site: New York, NY
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| 20-03720 | 12/22/2021 | Claimant(s): Francis Mitchell
Claimant Lawyers(s): Francis G. Mitchell
Respondent(s): Christopher Frattini, Gregory Hatzimichael, Mozart Prudent
Respondent Lawyers(s): Michael Utilla
Arbitrator(s): Elizabeth Gilbert, David I. Goldblatt, Robert Morris
Hearing Site: New York, NY
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| 20-03890 | 12/22/2021 | Claimant(s): Shawn Maloney
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter Wheeler
Arbitrator(s): Josian Antoine
Hearing Site: Albany, NY
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| 21-01264 | 12/22/2021 | Claimant(s): Anthony Arch
Claimant Lawyers(s): Brian Luther
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Ana R. Hartman
Arbitrator(s): Kenneth Paul Strongman
Hearing Site: San Francisco, CA
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| 21-00914 | 12/21/2021 | Claimant(s): Virginia Thompson
Claimant Lawyers(s): James P. Galvin
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Jill B. Clarke
Arbitrator(s): Michael Lau, Louis David Huss, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
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| 21-00999 | 12/21/2021 | Claimant(s): Rocco Guidicipietro
Claimant Lawyers(s): Scott Holcomb
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): David F. Feldstein
Arbitrator(s): Martin Jay Siegel, Joan M. Traub, Paul Allan Massaro
Hearing Site: Jersey City, NJ
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| 21-01247 | 12/21/2021 | Claimant(s): Angel Canabal
Claimant Lawyers(s): Russell Del Toro Parra
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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