| 23-03462 | 04/25/2024 | Claimant(s): Kovack Securities Inc
Claimant Lawyers(s): Amy Towle
Respondent(s): Hans Sharma
Respondent Lawyers(s): Hans R. Sharma
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
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| 23-03051 | 04/19/2024 | Claimant(s): Sanford C. Bernstein & Co., AllianceBernstein, L.P.
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Charles Lynch, Elijah Dornstreich, UBS Financial Services Inc., Ryan DePaul
Respondent Lawyers(s): Gary J. Lieberman, James L. Komie
Arbitrator(s): Richard Lewis Zack, Colin Bell, Hope A. Comisky
Hearing Site: Philadelphia, PA
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| 23-00446 | 04/10/2024 | Claimant(s): Michael Nolan
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Edward Turner Borer, Paul J. Leis, Peter George Erdely
Hearing Site: Philadelphia, PA
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| 23-01030 | 03/28/2024 | Claimant(s): Dorothy Harnish, Glenn Harnish
Claimant Lawyers(s): Michael S. Hill
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
|  | $225 |
| 20-03738 | 03/21/2024 | Claimant(s): Michael Resch, Robert Galbreath, William Galbreath
Claimant Lawyers(s): Marc Seldin Rosen
Respondent(s): Anthony Stanley, Northwestern Mutual Investment Services
Respondent Lawyers(s): Jeffrey J. Chomko, Liam O'Brien
Arbitrator(s): Dolores E Trojak, John James McGovern, Peter John Maurice Forbes
Hearing Site: Philadelphia, PA
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| 23-01293 | 03/15/2024 | Claimant(s): Nico Sethi
Claimant Lawyers(s): Everett Pritchard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): George Forest Bingham
Hearing Site: Philadelphia, PA
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| 23-02529 | 03/14/2024 | Claimant(s): Peter Blok
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Grove Point Investments
Respondent Lawyers(s): Matt Winterhalter
Arbitrator(s): Louis P. Wagman, Leo J. Karwejna, Thomas R Nathan
Hearing Site: Philadelphia, PA
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| 23-01381 | 03/12/2024 | Claimant(s): Bradley Kleinfelter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
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| 23-02100 | 03/04/2024 | Claimant(s): Patrick Foley
Claimant Lawyers(s): Patrick Michael Foley
Respondent(s): First Union Capital Markets Corp.
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Leo J. Karwejna, John B. Taulane, Elizabeth Ann Morgan
Hearing Site: Philadelphia, PA
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| 23-01299 | 03/01/2024 | Claimant(s): John Short
Claimant Lawyers(s): William R. Bean
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
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