| 23-03462 | 04/25/2024 | Claimant(s): Kovack Securities Inc
Claimant Lawyers(s): Amy Towle
Respondent(s): Hans Sharma
Respondent Lawyers(s): Hans R. Sharma
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
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| 23-01327 | 04/25/2024 | Claimant(s): Gregory Malin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Investment Services.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Thomas B. Corey
Hearing Site: Baltimore, MD
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| 23-01494 | 04/25/2024 | Claimant(s): Richard Thomas
Claimant Lawyers(s): Alex Padla
Respondent(s): SunAmerica Securities., SII Investments.
Respondent Lawyers(s): Eric A. Michaels, Jennifer R. Cox
Arbitrator(s): Katherine Hendricks
Hearing Site: Portland, OR
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| 23-02474 | 04/25/2024 | Claimant(s): Zak Shaik
Claimant Lawyers(s): Zak Shaik
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Caitlin P. Cascino
Arbitrator(s): Edward W. Morris, Jess A. Bunshaft, Alan Steven Mittleman
Hearing Site: Jersey City, NJ
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| 23-01535 | 04/24/2024 | Claimant(s): Stephen Ferencik
Claimant Lawyers(s): Michael Kalmus
Respondent(s): Morgan Stanley DW Inc., Triad Advisors LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Brandy Fernandez, Greg Curley, John Murphy
Arbitrator(s): Jeffrey Alperin, Christopher R Carroll, Chanteasea Pyron Swain
Hearing Site: Atlanta, GA
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| 23-03198 | 04/24/2024 | Claimant(s): Dean Donohue
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Douglas M. Branson, J.G. Long, Shawn Ridgell
Hearing Site: Louisville, KY
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| 23-02687 | 04/24/2024 | Claimant(s): Connor Aronis
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Michael J Norton
Hearing Site: Wichita, KS
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| 24-00252 | 04/24/2024 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing LL
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): James Czerniak
Respondent Lawyers(s): James Allen Czerniak
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
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| 23-00443 | 04/24/2024 | Claimant(s): Carlos Pou
Claimant Lawyers(s): Leslie Y. Flores
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
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| 23-01042 | 04/24/2024 | Claimant(s): Stephen Kiront
Claimant Lawyers(s): John D. Stewart
Respondent(s): Woodstock Financial Group.
Respondent Lawyers(s): William J. Raike
Arbitrator(s): Peter A. Goldman, Clive I. Morrick, Aymen Aboushi
Hearing Site: New York, NY
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