| 19-01783 | 12/20/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Craig Stein
Respondent(s): Jeffrey Williams
Respondent Lawyers(s): John A. Hubbard
Arbitrator(s): James M. Scutti, Marilyn Barbara Nader, Virginia Lee Perez-Berry
Hearing Site: Boca Raton, FL
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| 21-00695 | 12/20/2021 | Claimant(s): Ralph Femminella
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Gary A. Klein, Will Murphy, Isadora Velazquez-Rivas
Hearing Site: Boca Raton, FL
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| 21-00834 | 12/20/2021 | Claimant(s): Robert Yahney
Claimant Lawyers(s): Daniel P. Dietrich
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Thomas J. Patka
Hearing Site: Tampa, FL
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| 21-01178 | 12/20/2021 | Claimant(s): Jennifer Jasinski
Claimant Lawyers(s): Douglas Hyman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
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| 16-01033 | 12/17/2021 | Claimant(s): Oriental Financial Services Corp.
Claimant Lawyers(s): Pedro Hernandez-Freire
Respondent(s): Jose Ortiz
Respondent Lawyers(s): Enrique J. Mendoza Sanchez
Arbitrator(s): Seth L. Finkel
Hearing Site: San Juan, PR
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| 18-03448 | 12/17/2021 | Claimant(s): Pius Sprenger, Srinvas Namagiri
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Lloyd Chin
Arbitrator(s): Harvey Barrison, Madelon M. Rosenfeld, Margarita Echevarria
Hearing Site: New York, NY
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| 20-00715 | 12/17/2021 | Claimant(s): Christopher Scalese
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Louis H Miron
Hearing Site: Philadelphia, PA
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| 20-00845 | 12/17/2021 | Claimant(s): Brian Smith
Claimant Lawyers(s): Bruce C. Recher
Respondent(s): Royal Jaros
Respondent Lawyers(s): Charlie R. Alden
Arbitrator(s): Mark S. Gleason, John Carl Bjork, Lindsay Keller
Hearing Site: Minneapolis, MN
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| 20-03223 | 12/17/2021 | Claimant(s): Gerald O'Halloran
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Edward Jones, A. G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff, Jon Hackbarth
Arbitrator(s): Darryl C. Wilson
Hearing Site: Tampa, FL
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| 20-03313 | 12/17/2021 | Claimant(s): Geoffrey Newman
Claimant Lawyers(s): Geoffrey Lynn Newman
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Jane C. Carney, Stephen D. Altman, Ronald Kalungi
Hearing Site: Washington, DC
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