23-00428 | 08/04/2023 | Claimant(s): David Bower, Russell Cooper Claimant Lawyers(s): David I. Hantman Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam Kauff Arbitrator(s): Thomas W. Allen Hearing Site: Dallas, TX
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22-01567 | 08/04/2023 | Claimant(s): Paul Knoblich Claimant Lawyers(s): Samantha Pastor Respondent(s): Foothill Securities. Respondent Lawyers(s): Jeff Naylor Arbitrator(s): Carlos Richard Mangum, Daniel M. Yamshon, Mary Margaret Bush Hearing Site: San Francisco, CA
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22-02523 | 08/03/2023 | Claimant(s): Donald Terry Claimant Lawyers(s): Brian Luther Respondent(s): Principal Securities. Respondent Lawyers(s): Destinee Campbell Small Arbitrator(s): Robert C. Rice Hearing Site: Houston, TX
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20-03018 | 08/03/2023 | Claimant(s): Kevin Fay Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley & Co., Morgan Stanley DW Inc. Respondent Lawyers(s): Jeremy S. Winer Arbitrator(s): Joan M. Traub Hearing Site: Jersey City, NJ
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22-00905 | 08/03/2023 | Claimant(s): Thomas Cleary Claimant Lawyers(s): Jeremy L. Bartell Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Andrew W. Sidman Arbitrator(s): Jane C. Carney, Kathy Davidson Ireland, David Ivan Brochstein Hearing Site: Washington, DC
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22-02452 | 08/02/2023 | Claimant(s): Mei Guo Claimant Lawyers(s): Christina Z. Vourakis Respondent(s): Cetera Investment Services. Respondent Lawyers(s): David Smitham Arbitrator(s): Robert D. Sussin Hearing Site: Los Angeles, CA
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23-00287 | 08/02/2023 | Claimant(s): Sean Satterfield Claimant Lawyers(s): Samantha Pastor Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Terry M Lloyd Hearing Site: Honolulu, HI
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23-00661 | 07/31/2023 | Claimant(s): Elizabeth Ferreri Claimant Lawyers(s): Ronald A. Zamansky Respondent(s): John Hancock Investment Management Distr Respondent Lawyers(s): David J. Freniere Arbitrator(s): B. John Dill Hearing Site: Boston, MA
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22-00203 | 07/28/2023 | Claimant(s): United Planners' Financial Services Of A Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): Dan Droeg Respondent Lawyers(s): Mark D. Chester Arbitrator(s): Floyd Gerry Hoffman, Raymond George Seifritz, Wilbur Thomas Eggleston Hearing Site: Phoenix, AZ
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22-02184 | 07/28/2023 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): John B. Clark Respondent(s): Daniel Snodgrass Respondent Lawyers(s): Daniel Stephen Snodgrass Arbitrator(s): George Forest Bingham Hearing Site: Philadelphia, PA
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