| 23-02468 | 12/29/2023 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Kwame Adusei
Respondent Lawyers(s): Kwame Adusei
Arbitrator(s): Jay Alan Kranis
Hearing Site: New York, NY
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| 22-02207 | 12/28/2023 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Craig Stein
Respondent(s): David Ferneding
Respondent Lawyers(s): David Jerome Ferneding
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Dallas, TX
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| 23-01214 | 12/28/2023 | Claimant(s): Robert Karp
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Brian John Gallagher
Hearing Site: New York, NY
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| 23-01464 | 12/28/2023 | Claimant(s): Arthur Grossbard
Claimant Lawyers(s): Everett Pritchard
Respondent(s): OSAIC Wealth
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Michael H DuBoff
Hearing Site: Jersey City, NJ
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| 23-01363 | 12/27/2023 | Claimant(s): Mark Gopen, Philip Weinisch
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Jeanette E. Dennis
Arbitrator(s): Thomas E. Duggan, Ellyn S. Roth, Gerald M. Levine
Hearing Site: New York, NY
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| 22-02428 | 12/27/2023 | Claimant(s): Matthew Smith
Claimant Lawyers(s): Jonathan S. McCardle
Respondent(s): George McAvoy, Securities America., Richard Tomisman, William Selig, CP Capital Management
Respondent Lawyers(s): Gregory M. Curley, Justin A. Heller
Arbitrator(s): Martin John Satalin, Stuart Eliot Finer
Hearing Site: Albany, NY
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| 23-00781 | 12/26/2023 | Claimant(s): Mikal Haddad
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas E. Stagg
Arbitrator(s): Richard W. Cutler, Jill Pilgrim, Tangela Griffin
Hearing Site: New York, NY
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| 23-01153 | 12/26/2023 | Claimant(s): Securities America.
Claimant Lawyers(s): Justin Sacca
Respondent(s): Robert Thomas
Respondent Lawyers(s): Robert A. Thomas
Arbitrator(s): Edward W. Morris
Hearing Site: Augusta, ME
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| 23-01125 | 12/26/2023 | Claimant(s): Sahand Elmtalab
Claimant Lawyers(s): Michael E. Rowe
Respondent(s): Mml Investors Services, Llc, Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene, Jullie E. Ravis
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
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| 23-00783 | 12/26/2023 | Claimant(s): Michael Sendowski
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Cheryl Howard
Arbitrator(s): Craig Alan Gordon, Andrew W. Levin, Stuart John Webster
Hearing Site: Los Angeles, CA
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