| 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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| 20-03313 | 12/17/2021 | Claimant(s): Geoffrey Newman
Claimant Lawyers(s): Geoffrey Lynn Newman
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Jane C. Carney, Stephen D. Altman, Ronald Kalungi
Hearing Site: Washington, DC
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| 20-02854 | 09/24/2021 | Claimant(s): Jonathan Legg
Claimant Lawyers(s): Adam M Kauff
Respondent(s): Legg Mason Wood Walker, B. Riley Securities.
Respondent Lawyers(s): Michael Markunas, Rosemary Francavilla
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
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| 21-00081 | 07/19/2021 | Claimant(s): John Wolff
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
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| 20-01723 | 02/09/2021 | Claimant(s): Benedict Emesowum
Claimant Lawyers(s): Benedict Emesowum
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
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| 19-03708 | 07/31/2020 | Claimant(s): Carolyn DiPrinzio
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BI Investments
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
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| 19-03405 | 07/22/2020 | Claimant(s): Casey Craig
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research., MML Investors Services
Respondent Lawyers(s): Richard H. Kuhlman, William P. Thornton
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
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| 18-03329 | 03/19/2019 | Claimant(s): Edelman Financial Services
Claimant Lawyers(s): Connie Bertram
Respondent(s): Cary Street Partners Investment Advisory, Raymond James Reibel II
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Jane C. Carney, Jonathan Edward Levine, Karl Dean Larson
Hearing Site: Richmond, VA
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| 18-00333 | 10/09/2018 | Claimant(s): Melanie Folstad
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew C. Plant
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
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| 18-00427 | 07/18/2018 | Claimant(s): Thomas Howes
Claimant Lawyers(s): Thomas W. Howes
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Bonnie K. Wachtel, Jane C. Carney, Christopher Ryan Moore
Hearing Site: Washington, DC
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