| 19-01542 | 07/26/2022 | Claimant(s): Alpha Quantum LLC c/o Jose Michelen
Claimant Lawyers(s): David E. Robbins
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Steven Gerard Goerke, Jane A. Smith, Robert G. Geeseman
Hearing Site: Boca Raton, FL
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| 21-00097 | 07/25/2022 | Claimant(s): Shawn Waked, Theresa Stone, Maestro Global
Claimant Lawyers(s): Reagan D. Pratt
Respondent(s): Raymond James Financial Services., Securities America., Jane Terry, Kathleen Kerr, Kirk Bell, Timothy Rivera
Respondent Lawyers(s): Gregory M. Curley, Peter S. Fruin, Scott C. Matasar
Arbitrator(s): Helen Marinak Blohm, Gene R Thornton, Jonathan H. Krotinger
Hearing Site: Albuquerque, NM
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| 21-02355 | 07/25/2022 | Claimant(s): Randy Nelson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Leyla Bari
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 21-02994 | 07/25/2022 | Claimant(s): Jaime Musa
Claimant Lawyers(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 22-00235 | 07/25/2022 | Claimant(s): Shawn Bivens
Claimant Lawyers(s): Christopher H Tovar
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrew M. DeLucia
Arbitrator(s): G. Maynard Green, Jude A Smith, Christopher Allen
Hearing Site: Houston, TX
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| 22-00450 | 07/25/2022 | Claimant(s): Todd T. Frisch
Claimant Lawyers(s): Todd T. Frisch
Respondent(s): Jonathan Krueger
Respondent Lawyers(s): Jonathan Paul Krueger
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
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| 20-02678 | 07/22/2022 | Claimant(s): Brian Mulvey
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): John Francis Markuns
Hearing Site: Boston, MA
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| 21-02604 | 07/22/2022 | Claimant(s): Paul Habib
Claimant Lawyers(s): Paul George Habib
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Jack Friedman, Dean Burrell, Jason Pickholz
Hearing Site: Jersey City, NJ
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| 21-02845 | 07/22/2022 | Claimant(s): Seth Marcus
Claimant Lawyers(s): Kurt Kalberer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
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| 22-00100 | 07/22/2022 | Claimant(s): Frederick Dawson
Claimant Lawyers(s): Brian Luther
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura R. Rivera
Arbitrator(s): William Stephen Mailander
Hearing Site: Wilmington, DE
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