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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