| 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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