| 23-01104 | 12/19/2023 | Claimant(s): Mark Matthes
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Paul Weinberg, William Kent Brown, Tiffany Ann Taylor
Hearing Site: Boca Raton, FL
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| 23-00733 | 12/19/2023 | Claimant(s): John Dewitt
Claimant Lawyers(s): Harris Freedman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Leonel Peraza, Jr.
Arbitrator(s): Barry David Thorpe
Hearing Site: Boca Raton, FL
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| 23-02352 | 12/19/2023 | Claimant(s): Wendy Holmes
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Jay Alan Kranis
Hearing Site: New York, NY
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| 23-01207 | 12/19/2023 | Claimant(s): Andrew Denney
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Kansas City, MO
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| 23-00713 | 12/18/2023 | Claimant(s): Albert Kohout
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
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| 23-00424 | 12/18/2023 | Claimant(s): Michael O'Neill
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Howard L. Haykin, Karen Isabel Bedrosian - Richardson, Eric Goldman
Hearing Site: New York, NY
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| 23-01465 | 12/18/2023 | Claimant(s): Nazeeh Aranki
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
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| 23-01370 | 12/18/2023 | Claimant(s): Jorge Vielledent
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Kevin W. Brooks
Arbitrator(s): Donald Dreyfus
Hearing Site: Albuquerque, NM
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| 22-01351 | 12/18/2023 | Claimant(s): William Keeney
Claimant Lawyers(s): Jeremy L. Bartell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Gene M. Bauer, William Robinson Driscoll, Stephen James McLaughlin
Hearing Site: Boston, MA
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| 23-00730 | 12/15/2023 | Claimant(s): Preston Rosamond
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): William Cavalier, William L. Cravens, John Gary Langford
Hearing Site: Dallas, TX
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