| 23-00488 | 10/17/2023 | Claimant(s): David Carlor
Claimant Lawyers(s): David Carlor
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Ernest Edward Badway, Loretta Yin, Richard H Leitman
Hearing Site: Jersey City, NJ
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| 23-01472 | 10/17/2023 | Claimant(s): Kurt Mattson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Clarke C. Greene
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
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| 22-02465 | 10/13/2023 | Claimant(s): Flavius Sindile
Claimant Lawyers(s): Andrew S. May
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Heidi E. Vonderheide
Arbitrator(s): Michael S. Matek, Michael R. Sherwin, Andreanna A. Leon
Hearing Site: Chicago, IL
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| 22-02687 | 10/13/2023 | Claimant(s): David Burgio
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): OSAIC Wealth, Prime Capital Services.
Respondent Lawyers(s): Emily A. Hayes, Greg M. Curley
Arbitrator(s): Mark A. Sipper
Hearing Site: Buffalo, NY
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| 23-00509 | 10/13/2023 | Claimant(s): Jane Scarbrough
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Mike West
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
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| 23-01071 | 10/13/2023 | Claimant(s): Dave Krueckel
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
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| 23-00119 | 10/13/2023 | Claimant(s): Travis Dauchy
Claimant Lawyers(s): William Bean
Respondent(s): Equitable Advisors, USAA Financial Advisors.
Respondent Lawyers(s): Michael J. Biondi, Theodore C. Schultz
Arbitrator(s): Paul Allan Massaro, Veronica Ann Williams, Alan Steven Mittleman
Hearing Site: Jersey City, NJ
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| 23-02218 | 10/13/2023 | Claimant(s): Jeffrey Klotz
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
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| 22-01881 | 10/13/2023 | Claimant(s): David Test
Claimant Lawyers(s): David Brian Test
Respondent(s): Charles Cruse
Respondent Lawyers(s): Jason E. Winford
Arbitrator(s): Richard Frederick Schaufert, Michael Wayne Johnston, Melissa Nycole Hearon
Hearing Site: Dallas, TX
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| 23-00339 | 10/13/2023 | Claimant(s): Chirag Chauhan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Michael J. Biondi
Arbitrator(s): Harvey R. Linder
Hearing Site: Memphis, TN
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