| 23-02800 | 05/22/2024 | Claimant(s): Jonathan Marshall
Claimant Lawyers(s): Jonathan Edward Marshall
Respondent(s): Lincoln Financial Securities Corporation
Respondent Lawyers(s): Benjamin Edwards
Arbitrator(s): Carole Crosby, Donald N. Malawsky, John G. Sciandra
Hearing Site: Tampa, FL
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| 24-00453 | 05/22/2024 | Claimant(s): Nathan Oeming
Claimant Lawyers(s): Nathan Oeming
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter Wheeler
Arbitrator(s): Peter Khalil
Hearing Site: Portland, OR
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| 23-02543 | 05/21/2024 | Claimant(s): Jay Sheth
Claimant Lawyers(s): Craig Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Madelon M. Rosenfeld, John Nino Brenkovich, Frances Gottfried
Hearing Site: New York, NY
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| 23-02742 | 05/21/2024 | Claimant(s): Richard Grodin
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
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| 23-02839 | 05/21/2024 | Claimant(s): Shaun Stein
Claimant Lawyers(s): Brian Luther
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Jersey City, NJ
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| 23-01589 | 05/21/2024 | Claimant(s): Alberto Velasco
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
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| 23-01816 | 05/21/2024 | Claimant(s): Peter Darnell, Randi Gollin
Claimant Lawyers(s): Jessica A. Murzyn
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Josefa Antonia Sicard-Mirabal, John Franklin Udochi, Anjelica Cappellino
Hearing Site: New York, NY
|  | Expungement |
| 23-02559 | 05/21/2024 | Claimant(s): Thomas Rapp
Claimant Lawyers(s): Brian Luther
Respondent(s): 1717 Capital Management Company
Respondent Lawyers(s): Daniela Paez
Arbitrator(s): Serge Krimnus
Hearing Site: Jersey City, NJ
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| 23-01532 | 05/21/2024 | Claimant(s): Angel Canabal
Claimant Lawyers(s): Russell Del Toro Parra
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 23-02775 | 05/21/2024 | Claimant(s): James Shuttleworth
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Shannon M. Wheaton
Arbitrator(s): David Adams Reif
Hearing Site: Hartford, CT
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