| 22-01193 | 11/15/2022 | Claimant(s): Dilek Uzun
Claimant Lawyers(s): Dilek Uzun
Respondent(s): Harry Zwick, JPMSI
Respondent Lawyers(s): Heidi E. VonderHeide, Robert L. Herskovits
Arbitrator(s): Nancy Kramer
Hearing Site: New York, NY
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| 19-02173 | 11/14/2022 | Claimant(s): Daniel Wallace
Claimant Lawyers(s): Alan Rosca
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael M. Rosensaft
Arbitrator(s): Mary Julia O'Connell, David John Reilly, Eric Goldman
Hearing Site: New York, NY
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| 21-00186 | 11/11/2022 | Claimant(s): Gabriel Antuna
Claimant Lawyers(s): Gabriel Fischbarg
Respondent(s): Andrew Garrett.
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): Richard W. Vallario, Elizabeth Gilbert, Joan Ellen Hoffman
Hearing Site: New York, NY
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| 22-01364 | 11/11/2022 | Claimant(s): Frank Metzke
Claimant Lawyers(s): Thomas J. Cahill
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Scott R. Koch
Arbitrator(s): Morton S. Bunis
Hearing Site: New York, NY
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| 21-02981 | 11/10/2022 | Claimant(s): NewBridge Securities Corp.
Claimant Lawyers(s): George F. Meierhofer
Respondent(s): Kevin Doyle
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Rory M. McLaughlin
Hearing Site: New York, NY
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| 20-03652 | 11/09/2022 | Claimant(s): Intellivest Securities.
Claimant Lawyers(s): Daniel H. Kolber
Respondent(s): Gratitude Management LLC, The Builders Fund
Respondent Lawyers(s): John J. Siciliano
Arbitrator(s): David Paul Clark, Julie K. Chapin, Richard Pearce Moultrie
Hearing Site: Wilmington, DE
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| 22-00321 | 11/09/2022 | Claimant(s): Larry Tolbert
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation, Sagepoint Financial., MSI Financial Services.
Respondent Lawyers(s): James V. Noblett, Martin Harris
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Memphis, TN
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| 21-02638 | 11/08/2022 | Claimant(s): Jeffrey Filone
Claimant Lawyers(s): David Gehn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Antoinette E. La Belle, Clive I. Morrick, Pierre F. de Ravel d'Esclapon
Hearing Site: New York, NY
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| 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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| 22-01071 | 11/08/2022 | Claimant(s): Frank Gavidia
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
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