| 22-00888 | 11/08/2022 | Claimant(s): Josh Oliver
Claimant Lawyers(s): David E. Dobin
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew T. Bohenek
Arbitrator(s): David Adams Reif
Hearing Site: Hartford, CT
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| 22-00112 | 11/01/2022 | Claimant(s): Thomas Hine
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities Service Network
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Catherine Stewart
Hearing Site: Hartford, CT
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| 22-00456 | 10/06/2022 | Claimant(s): Eric Hogarth
Claimant Lawyers(s): Steven Feldman
Respondent(s): Silver Oak Securitiesorporated
Respondent Lawyers(s): Doug Baxley
Arbitrator(s): David Adams Reif
Hearing Site: Hartford, CT
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| 22-00135 | 09/09/2022 | Claimant(s): Charles Crilly
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Joyce
Arbitrator(s): Samuel H. Chorches, Steven R. Rolnick, John B. Dew
Hearing Site: Hartford, CT
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| 19-03331 | 08/16/2022 | Claimant(s): Josh Oliver
Claimant Lawyers(s): David Dobin
Respondent(s): Key Investment Services LLC
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Diane Ciccone, Marissa A. Santangelo, Paul Smith Besson
Hearing Site: Hartford, CT
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| 21-01614 | 08/08/2022 | Claimant(s): Estate of Barbra H. Uterstaedt
Claimant Lawyers(s): Joseph A. Hourihan
Respondent(s): Robin Bogda, Janney Montgomery Scott LLC
Respondent Lawyers(s): Eric M. Sandler, Jeffrey N. Kaplan
Arbitrator(s): Linda J. Baer, Robert M. Singer, Nancy Wiegers Greenwald
Hearing Site: Hartford, CT
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| 18-00229 | 07/28/2022 | Claimant(s): Estate of Elaine Falcigno
Claimant Lawyers(s): Edmund Polubinski
Respondent(s): Frederick Mueller, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Robert L. Chase, John J. Mager, April C. Teveris
Hearing Site: Hartford, CT
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| 22-00089 | 07/18/2022 | Claimant(s): Heath Grossman
Claimant Lawyers(s): Steven Feldman
Respondent(s): Silver Oak Securitiesorporated
Respondent Lawyers(s): Doug Baxley
Arbitrator(s): Robert Titus
Hearing Site: Hartford, CT
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| 20-00043 | 07/13/2022 | Claimant(s): Stephen DesRochers
Claimant Lawyers(s): Leonard B. Rose
Respondent(s): UBS Financial Services Inc., UBS Credit Corp
Respondent Lawyers(s): Michael F. Braun
Arbitrator(s): Sean Alan D'Amico, David Adams Reif, James Bromley Bragg
Hearing Site: Hartford, CT
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| 21-02774 | 05/03/2022 | Claimant(s): Heath Grossman
Claimant Lawyers(s): Steven D. Feldman
Respondent(s): Silver Oak Securitiesorporated
Respondent Lawyers(s): Doug Baxley
Arbitrator(s): Thomas M. Madden
Hearing Site: Hartford, CT
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