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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