| 20-00217 | 09/22/2021 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Anthony J Borrelli
Respondent(s): Jason Seifert
Respondent Lawyers(s): Jeffrey C. Miller
Arbitrator(s): Robert J. Scafuri, Robert M. Shwab, David Minc
Hearing Site: Cleveland, OH
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| 20-00222 | 08/10/2021 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Kenneth Senvisky
Respondent Lawyers(s): Jeffrey C. Miller
Arbitrator(s): Robert M. Shwab, Robert H. Baker, Kevin Brodar
Hearing Site: Cleveland, OH
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| 20-04128 | 07/07/2021 | Claimant(s): Jeffrey Elman
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Edward J. Heffernan
Arbitrator(s): Michael L. Fortney
Hearing Site: Cleveland, OH
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| 19-02287 | 11/09/2020 | Claimant(s): Jess Hurst
Claimant Lawyers(s): Brian P. Nally
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Michael S. Matek
Hearing Site: Cleveland, OH
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| 20-01601 | 11/06/2020 | Claimant(s): Jennifer Lattanzio
Claimant Lawyers(s): Nancy L. Hendrickson
Respondent(s): Chase Investment Services Corp., Citizens Securities.
Respondent Lawyers(s): Adam R. Bennett, Brenna Anatone Force
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Cleveland, OH
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| 20-00482 | 10/12/2020 | Claimant(s): Robert Warther
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Kevin R. Zehe
Hearing Site: Cleveland, OH
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| 19-03125 | 03/10/2020 | Claimant(s): Anthony Atrasz
Claimant Lawyers(s): Erica Harris
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Leslie S. Blickenstaff
Arbitrator(s): Daniel G. Zeiser
Hearing Site: Cleveland, OH
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| 19-02238 | 03/02/2020 | Claimant(s): Scott Lowe
Claimant Lawyers(s): Frances Menzer
Respondent(s): Hornor, Townsend & Kent
Respondent Lawyers(s): Anton L. Hasenkampf
Arbitrator(s): Susan L. Walker
Hearing Site: Cleveland, OH
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| 19-02096 | 02/14/2020 | Claimant(s): Michael Palmer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Philip J. Glick
Hearing Site: Cleveland, OH
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| 18-02993 | 01/31/2020 | Claimant(s): Flonnoya Franklin
Claimant Lawyers(s): Fred M. Bean
Respondent(s): Blaine Miller, Samuel Capasso, Proequities.
Respondent Lawyers(s): Warren B. Lightfoot
Arbitrator(s): Ellen Holland Keller, Michael L. Fortney, Barbara E. Machin
Hearing Site: Cleveland, OH
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