| 21-01967 | 03/29/2022 | Claimant(s): Andrew Miller, Karl Schlabach
Claimant Lawyers(s): Brian Luther
Respondent(s): The O.N Equity Sales Company
Respondent Lawyers(s): Mark E. Elsener
Arbitrator(s): Gary B. Deutsch
Hearing Site: Cleveland, OH
| | |
| 21-02188 | 03/29/2022 | Claimant(s): David Rojas
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
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| 20-03742 | 03/29/2022 | Claimant(s): Melanie Meadows
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Lawton R. Graves
Arbitrator(s): G. Maynard Green, Gwendolyn Canady, Demeita M Johnson
Hearing Site: Houston, TX
|  | $0 |
| 19-02084 | 03/29/2022 | Claimant(s): Tian Lu
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Smansa Chu, Cetera Investment Services LLC
Respondent Lawyers(s): Christina Z. Vourakis
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
| | Expungement |
| 20-04000 | 03/28/2022 | Claimant(s): Kevin Stokesbary
Claimant Lawyers(s): Shannon McDougald
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): William J. Bender, Steven Phillip Caplow, Jane Ann McKenzie
Hearing Site: Seattle, WA
| | |
| 21-00963 | 03/28/2022 | Claimant(s): Edwin McClure III
Claimant Lawyers(s): Zachary Morse
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: San Diego, CA
| | |
| 21-00997 | 03/28/2022 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Jeff McElroy
Respondent Lawyers(s): Jeff Corey McElroy
Arbitrator(s): Robert J. Gregory
Hearing Site: Oklahoma City, OK
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| 21-01912 | 03/28/2022 | Claimant(s): Julie Johnson
Claimant Lawyers(s): James P. Galvin
Respondent(s): UBS Financial Services Inc., Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, John Murphy
Arbitrator(s): Philip J. Glick, Michael Jeffrey Norton, Gregory M. Scanlon
Hearing Site: Denver, CO
| | |
| 20-02109 | 03/28/2022 | Claimant(s): Derish M. Wolff 2012 Irrevocable Trust
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Brian L. Muldrew
Arbitrator(s): Carol Maria Luttati, Barry Stephen Spector, Sharon Price-Cates
Hearing Site: New York, NY
| | $0 |
| 21-01519 | 03/25/2022 | Claimant(s): Ian Fuller
Claimant Lawyers(s): Ronald D. Shindler
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): James M. Rhodes
Hearing Site: New York, NY
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