22-02895 | 11/02/2023 | Claimant(s): Richard Ehrlich Claimant Lawyers(s): Harris Freedman Respondent(s): Lincoln Financial Securities Corporation Respondent Lawyers(s): Dustin J. Tirpak Arbitrator(s): Mark C. Perry Hearing Site: Boca Raton, FL
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23-00667 | 11/01/2023 | Claimant(s): Douglas Wall Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Joseph Neal Richardson Hearing Site: Dallas, TX
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23-02152 | 11/01/2023 | Claimant(s): Sean Spencer, Access Capital Claimant Lawyers(s): John Vaughn Respondent(s): IMA Wealth Respondent Lawyers(s): Clayton J. Kaiser Arbitrator(s): John W. Jones, Leonard M. Goldstein, Tara A. LaClair Hearing Site: Wichita, KS
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22-00919 | 11/01/2023 | Claimant(s): U.S. Bancorp Investments. Claimant Lawyers(s): Roxanna V Gonzalez Respondent(s): Mark Joyner Respondent Lawyers(s): Amy C. Johnson Arbitrator(s): Irwin Venick, Michael Edward Collins, Douglas Charles Weinstein Hearing Site: Nashville, TN
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23-00338 | 10/31/2023 | Claimant(s): Judson Potter Claimant Lawyers(s): Harris Freedman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Ira A. Auerbach Hearing Site: New York, NY
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23-00794 | 10/31/2023 | Claimant(s): Justin Bailey Claimant Lawyers(s): Robert Hill Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Jason Kempf Arbitrator(s): Arocles Aguilar Hearing Site: San Francisco, CA
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22-00316 | 10/30/2023 | Claimant(s): Cantor Fitzgerald & Co. Claimant Lawyers(s): David Paul Respondent(s): Adil Sener, John Bills, Kevin Phillips, Robert Kavanagh, Schuyler Fabian, Pei Global Partners LLC Respondent Lawyers(s): Joshua D. Liston Arbitrator(s): Michael S. Lazan, Eric Zaidins, Richard M Kosnik Hearing Site: New York, NY
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23-00732 | 10/30/2023 | Claimant(s): David Dietrich Claimant Lawyers(s): Harris Freedman Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Erik R. Siering Hearing Site: Los Angeles, CA
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22-02914 | 10/30/2023 | Claimant(s): Paul Michlik Claimant Lawyers(s): Paul Michlik Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Geoff Beckham Arbitrator(s): Ronald N. Roth, Erik R. Siering, Anatoly Tony Zuban Hearing Site: San Diego, CA
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23-00670 | 10/30/2023 | Claimant(s): Dianne Odom Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Woodbury Financial Services., J.W. Cole Financial., Transamerica Financial Advisors Respondent Lawyers(s): Gregg J. Breitbart, Jennifer R. Cox, Susan D. Duff Arbitrator(s): David M. Snyder, Nathan Jon Larson, Bryant Ashley Scriven Hearing Site: Tampa, FL
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