| 21-01934 | 05/13/2022 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Joseph Pratt
Respondent Lawyers(s): Joseph Hersey Pratt
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
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| 21-02728 | 03/25/2022 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B Clarke
Respondent(s): Charles Jenkins
Respondent Lawyers(s): Charles M Jenkins
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Pittsburgh, PA
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| 16-03008 | 08/31/2021 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp
Claimant Lawyers(s): Laura A. Perez
Respondent(s): William Quinn
Respondent Lawyers(s): William F. Quinn
Arbitrator(s): Kathleen K. Murphy, Gregory Hunter Mathews, Robert C. Scanlan
Hearing Site: Philadelphia, PA
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| 20-03558 | 06/10/2021 | Claimant(s): Lincoln Financial Securities Corporation
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Jason Fekete
Respondent Lawyers(s): Jason M. Fekete
Arbitrator(s): C Gregory Ellison, Gregory Hunter Mathews, Geoffrey A. Drucker
Hearing Site: Norfolk, VA
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| 20-01844 | 05/10/2021 | Claimant(s): Edward Blacka
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselski
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Pittsburgh, PA
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| 19-02867 | 04/05/2021 | Claimant(s): Michael Reis
Claimant Lawyers(s): Sheilah R. McLaughlin
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): John D. Stewart
Arbitrator(s): Michael L. Lyons, Gregory Hunter Mathews, John J. Mager
Hearing Site: Augusta, ME
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| 20-01715 | 11/06/2020 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Nicola A. Murphy
Respondent(s): John Ginsbury
Respondent Lawyers(s): John Ginsbury
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Providence, RI
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| 18-01201 | 10/23/2020 | Claimant(s): Arthur Bing, Bryan Davis, Holly Easton, Richard Stobbs, Yvonne Mitchell, Zoran Stoyanovich
Claimant Lawyers(s): John S. Chapman
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Carlos Provencio
Arbitrator(s): Sharon R. Merriman, Jacqueline R. Fox, Gregory Hunter Mathews
Hearing Site: Columbus, OH
|  | $450 |
| 19-01956 | 06/22/2020 | Claimant(s): Dustin Capco
Claimant Lawyers(s): Dustin Thomas Capco
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Lorie E. Almon
Arbitrator(s): Gregory Hunter Mathews, William Francis Ryan, Joseph Stuligross
Hearing Site: Pittsburgh, PA
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| 19-00902 | 06/19/2020 | Claimant(s): Matthew Goldstein
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John T. DiNapoli
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
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