| 22-00827 | 12/09/2022 | Claimant(s): Sydney Walker
Claimant Lawyers(s): Brian Luther
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 22-01069 | 12/09/2022 | Claimant(s): Karl Schwartz
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | |
| 22-02294 | 12/09/2022 | Claimant(s): John Tsoukalas
Claimant Lawyers(s): Jennifer Burke
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Jennifer Burke
Arbitrator(s): Linda J. Baer
Hearing Site: Jersey City, NJ
| | |
| 22-01770 | 12/09/2022 | Claimant(s): Michael Walters
Claimant Lawyers(s): Michael Walters
Respondent(s): Ally Invest Securities LLC
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
|  | $0 |
| 22-00953 | 12/09/2022 | Claimant(s): Anuphong Sivatitikul, Sukanya Thudsuan
Claimant Lawyers(s): David Neuman
Respondent(s): Narongdej Jaroensabphayanont
Respondent Lawyers(s): Narongdej Jaroensabphayanont
Arbitrator(s): Mark Lee Haggard
Hearing Site: Seattle, WA
| | $53,768 |
| 22-00738 | 12/08/2022 | Claimant(s): Anthony Kayser
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): PFS Investments Inc.
Respondent Lawyers(s): Daniel A. Woodring, EVP/CEO
Arbitrator(s): Philip J. Glick
Hearing Site: Omaha, NE
| | |
| 22-01250 | 12/08/2022 | Claimant(s): Richard Grund
Claimant Lawyers(s): Brian Luther
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter Wheeler
Arbitrator(s): Layne Verebay, Eric Mealus
Hearing Site: Boca Raton, FL
| | |
| 21-02361 | 12/08/2022 | Claimant(s): Jill McLoughlin, Jody Hall, Joyce Rosenthal, Judy Richardson, Shirlee R. Rosenthal Irrev. R.E. Trust
Claimant Lawyers(s): Stacey P. Nakasian
Respondent(s): Charles White, Wilson Saville, Barrett & Company
Respondent Lawyers(s): Peter F. Flynn
Arbitrator(s): Carol Di Natale, Nicholas Trott Long, John C Solomon
Hearing Site: Providence, RI
| | $534,397 |
| 22-00828 | 12/07/2022 | Claimant(s): Richard Whalen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Carrington Investment Services
Respondent Lawyers(s): Karl E. May
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 22-00947 | 12/07/2022 | Claimant(s): Thomas Freeman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): David A. Schuler
Hearing Site: Kansas City, MO
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