| 19-03417 | 10/06/2023 | Claimant(s): Elmer Ferguson
Claimant Lawyers(s): Elmer Richard Ferguson
Respondent(s): MMA Securities LLC, Marsh & McLennan Agency LLC
Respondent Lawyers(s): Benjamin Emmert
Arbitrator(s): Ronald Chun, Clifford A. Threlkeld, Richard Thomas Boyer
Hearing Site: San Francisco, CA
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| 22-02697 | 10/06/2023 | Claimant(s): Edward Deicke
Claimant Lawyers(s): Kurt Kalberer
Respondent(s): National Securities Corporation, Prudential Equity Group
Respondent Lawyers(s): Emily A. Hayes, Jennifer E. Novoselsky
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
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| 23-00222 | 10/05/2023 | Claimant(s): Eric Rapczyk
Claimant Lawyers(s): Seth N. Bursky
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily Hayes
Arbitrator(s): Matthew Fernandez Konigsberg, A. Rene Hollyer, Andrew Brindle
Hearing Site: New York, NY
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| 23-01146 | 10/05/2023 | Claimant(s): Leon Almeida
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): MML Investors Services, MSI Financial Services.
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Edith M. Novack
Hearing Site: Jersey City, NJ
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| 22-02237 | 10/05/2023 | Claimant(s): Angel Canabal
Claimant Lawyers(s): Roberto C. Quinones
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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| 23-00160 | 10/04/2023 | Claimant(s): Paul Siegel
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Phoenix, AZ
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| 23-02022 | 10/03/2023 | Claimant(s): Charles Teixeira
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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| 23-01305 | 10/03/2023 | Claimant(s): Gregory Benner
Claimant Lawyers(s): Harris Freedman
Respondent(s): Natcity Investments.
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
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| 23-00255 | 10/02/2023 | Claimant(s): Landon Troyer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Jenny Yuan
Arbitrator(s): Charles G. Michaels
Hearing Site: Omaha, NE
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| 23-01239 | 10/02/2023 | Claimant(s): DawnMarie Corneau
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
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