| 23-01978 | 06/10/2024 | Claimant(s): Marc Jacobson
Claimant Lawyers(s): Owen Harnett
Respondent(s): Pruco Securities., Equitable Advisors
Respondent Lawyers(s): Jennifer E. Novoselsky, Michael J. Biondi
Arbitrator(s): Leon Fox, Raymond P. Buschmann, James Hofheimer
Hearing Site: Chicago, IL
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| 24-00544 | 06/07/2024 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Richard Montaldo, Jr.
Respondent Lawyers(s): Richard Frank Montaldo, Jr.
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
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| 23-02813 | 06/07/2024 | Claimant(s): Brian Arezzo
Claimant Lawyers(s): Brian Luther
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Washington, DC
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| 23-03005 | 06/07/2024 | Claimant(s): Wade Papapanagiotu
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Sandra J. Mullings, Clive I. Morrick, Kristoffer B. Mack
Hearing Site: New York, NY
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| 20-02474 | 06/07/2024 | Claimant(s): James Rudwall
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael F. Braun
Arbitrator(s): Gregory G. Gocek, Susan L. Walker
Hearing Site: Chicago, IL
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| 23-01122 | 06/07/2024 | Claimant(s): William Straub
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Thomas W. Allen
Hearing Site: Dallas, TX
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| 23-02904 | 06/07/2024 | Claimant(s): Roberto Costa
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Kalie M. Maniglia
Arbitrator(s): Richard S. Zaifert
Hearing Site: Jacksonville, FL
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| 23-01321 | 06/07/2024 | Claimant(s): James Lineweaver
Claimant Lawyers(s): Gerry Kowalski
Respondent(s): Triad Advisors LLC, Sigma Financial Corporation
Respondent Lawyers(s): Amir Tadjedin, Jennifer R. Cox
Arbitrator(s): Tracy L. Allen
Hearing Site: Cleveland, OH
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| 23-02771 | 06/07/2024 | Claimant(s): Kent Fitzpatrick
Claimant Lawyers(s): Brian Luther
Respondent(s): NFP Securities.
Respondent Lawyers(s): Lydia R. Zaidman
Arbitrator(s): Stephen James McLaughlin
Hearing Site: Boston, MA
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| 23-02856 | 06/05/2024 | Claimant(s): Gary Borowiec
Claimant Lawyers(s): Alex Padla
Respondent(s): 1717 Capital Management Company
Respondent Lawyers(s): Daniela Paez
Arbitrator(s): Alice E. Winkler
Hearing Site: Jersey City, NJ
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