| 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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| 22-02906 | 12/22/2023 | Claimant(s): Belinda Aucoin
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Comerica Securities, Milkie/Ferguson Investments.
Respondent Lawyers(s): Edward Milkie, Susan C. Nystrom
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 23-01819 | 12/22/2023 | Claimant(s): Jessica Peabody
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Justin E. Condit
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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| 22-02041 | 12/22/2023 | Claimant(s): Manuel Melendez
Claimant Lawyers(s): Debra A Jenks
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 21-01930 | 12/22/2023 | Claimant(s): Phillip Parziale
Claimant Lawyers(s): William Haddad
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Amy M. McCallen
Arbitrator(s): Richard D. Levin, Gene M. Bauer, John George Neylon
Hearing Site: Boston, MA
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| 23-02302 | 12/22/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Sara Soto
Respondent(s): Robert Tracy
Respondent Lawyers(s): Robert James Tracy
Arbitrator(s): David S. Billet
Hearing Site: Jersey City, NJ
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