| 21-00982 | 12/07/2023 | Claimant(s): Dania Sepahrokh, Jerome Menig, Renee Vonalmen, Saurin Patel, Tamaira Suwanski
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): BMO Harris Financial Advisors.
Respondent Lawyers(s): Randall M. Lending
Arbitrator(s): Michael S. Matek, Ann Hagerty, Robert F Hogan
Hearing Site: Chicago, IL
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| 23-00970 | 12/07/2023 | Claimant(s): Francisco Landivar
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
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| 23-01086 | 12/07/2023 | Claimant(s): Philip Arnheiter
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Morgan Stanley DW Inc., Wells Fargo Advisors Financial Network, Oppenheimer & Co..
Respondent Lawyers(s): Andrew Joyce, Deirdre Wolff, William H. Badinelli
Arbitrator(s): Kenneth J. Horowitz, Jeffrey Zuckerman, Robert Andrew Sollazzo
Hearing Site: Jersey City, NJ
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| 23-01694 | 12/07/2023 | Claimant(s): Russell Samples
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): John Kenneth Popham
Hearing Site: Dallas, TX
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| 23-01257 | 12/06/2023 | Claimant(s): Andrew Schroeder
Claimant Lawyers(s): James P. Galvin
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): William M. Azkoul
Hearing Site: Des Moines, IA
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| 23-00321 | 12/06/2023 | Claimant(s): Scott Baker
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Michael J Norton
Hearing Site: Denver, CO
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| 21-02961 | 12/04/2023 | Claimant(s): John Dabbs
Claimant Lawyers(s): David Wechsler
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Kenneth J. Kelly
Arbitrator(s): Richard W. Vallario, Carol Maria Luttati, Michael Casali
Hearing Site: New York, NY
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| 22-00491 | 12/04/2023 | Claimant(s): Doris Mctyre
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Amanda Scipione, Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Thomas Michael Genovese, James Reiman, Floyd A Bednarz
Hearing Site: Chicago, IL
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| 23-02308 | 12/04/2023 | Claimant(s): Eric Wittenberg
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
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| 23-01486 | 12/01/2023 | Claimant(s): Michael Peters
Claimant Lawyers(s): William Bean
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Kevin W. Brooks
Arbitrator(s): Charles A. Palmer
Hearing Site: Buffalo, NY
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