| 20-02801 | 07/13/2021 | Claimant(s): Andrew Fairchild
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 20-03027 | 07/12/2021 | Claimant(s): Thomas Briguccia
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Spartan Capital Securities
Respondent Lawyers(s): Kim Monchik
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
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| 20-02146 | 07/09/2021 | Claimant(s): Hernan Fonseca
Claimant Lawyers(s): Harris Freedman
Respondent(s): Amfin Investment Services.
Respondent Lawyers(s): Carol S. Severino
Arbitrator(s): Herbert Branitsky
Hearing Site: Boca Raton, FL
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| 20-02464 | 07/02/2021 | Claimant(s): David Weinstein
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Dawson James Securities.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
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| 20-02148 | 06/23/2021 | Claimant(s): Jason Stephens
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 20-03193 | 06/21/2021 | Claimant(s): John Cassandra
Claimant Lawyers(s): Cory Zadanosky
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Monica I. Salis
Hearing Site: Boca Raton, FL
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| 20-02319 | 06/16/2021 | Claimant(s): Ameriprise Financial Services
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Daniel Ascani
Respondent Lawyers(s): Daniel Leonard Ascani
Arbitrator(s): Scott Manker, Gary Frederick Birnberg, Brian Arthur Rubino
Hearing Site: Boca Raton, FL
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| 20-03124 | 06/14/2021 | Claimant(s): Thomas Conway
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
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| 20-02583 | 06/11/2021 | Claimant(s): Carnes Capital Corporation, Private Capital Management
Claimant Lawyers(s): Victor Bayata
Respondent(s): John Folz
Respondent Lawyers(s): Casey K. Weidenmiller
Arbitrator(s): Erika Deutsch Rotbart, Nofrey Matthew Fornaro, Montie J Labadie
Hearing Site: Boca Raton, FL
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| 20-02723 | 06/09/2021 | Claimant(s): Joshua Klump
Claimant Lawyers(s): Harris Freedman
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Samuel Gilley
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
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