22-01351 | 12/18/2023 | Claimant(s): William Keeney Claimant Lawyers(s): Jeremy L. Bartell Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Gene M. Bauer, William Robinson Driscoll, Stephen James McLaughlin Hearing Site: Boston, MA
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23-00730 | 12/15/2023 | Claimant(s): Preston Rosamond Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Edward Jones Respondent Lawyers(s): Jonathan W. Hackbarth Arbitrator(s): William Cavalier, William L. Cravens, John Gary Langford Hearing Site: Dallas, TX
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23-01247 | 12/15/2023 | Claimant(s): Carlos Ubinas Taylor Claimant Lawyers(s): Ubaldo M Fernandez- Barrera Respondent(s): 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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23-01487 | 12/15/2023 | Claimant(s): Michael Noland Claimant Lawyers(s): Dochtor Kennedy Respondent(s): NYLife Securities LLC Respondent Lawyers(s): Christopher J. Murdoch Arbitrator(s): Eric Ross Cromartie Hearing Site: Oklahoma City, OK
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23-01889 | 12/15/2023 | Claimant(s): Kristopher Watts, Sherri Omdahl Claimant Lawyers(s): Peter R. Boutin Respondent(s): Morgan Stanley Respondent Lawyers(s): Elisabeth Kratka Arbitrator(s): Arocles Aguilar Hearing Site: San Francisco, CA
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23-00104 | 12/15/2023 | Claimant(s): Cory Boggs Claimant Lawyers(s): Michael Bessette Respondent(s): City National Securities. Respondent Lawyers(s): Jose A. Lopez Arbitrator(s): Robert C. Albini Hearing Site: Los Angeles, CA
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23-00385 | 12/15/2023 | Claimant(s): Eric Rapczyk Claimant Lawyers(s): Seth N. Bursky Respondent(s): National Securities Corporation Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): David John Reilly, Thomas M. Madden, Michael Dustin Chase Hearing Site: New York, NY
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23-02204 | 12/14/2023 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Keith J. Barnett Respondent(s): Mitchell Roby Respondent Lawyers(s): Mitchell Roby Arbitrator(s): Leo G. Stern Hearing Site: Minneapolis, MN
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21-00811 | 12/14/2023 | Claimant(s): Arthur Sitelman, Edna Sitelman, Arthur Sitelman IRA, Faraway Assets, The Good Daughter Claimant Lawyers(s): Thomas Frost Respondent(s): Armando Roman, Independent Financial Group. Respondent Lawyers(s): Edward Zusman Arbitrator(s): Lanny M. Leff, Robert Rosen, Jay Lawrence Witkin Hearing Site: Phoenix, AZ
| | $1,000,000 |
23-01376 | 12/14/2023 | Claimant(s): Zakira Chambers Claimant Lawyers(s): Zakira Chambers Respondent(s): Navy Federal Investment Services Respondent Lawyers(s): Marissa S. Bacino Arbitrator(s): Andrew S. Walsh Hearing Site: Philadelphia, PA
| | Dismissed by Rule 12504 |