| 21-01154 | 12/09/2021 | Claimant(s): Michael Bolen
Claimant Lawyers(s): James P. Galvin
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Richard P. Regan, Ezio Borchini, Christopher M. McMurray
Hearing Site: Washington, DC
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| 19-01162 | 12/08/2021 | Claimant(s): Timothy Ratty
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Lawrence S. Silver, Will Murphy, Anthony Oreste Arcuni
Hearing Site: Boca Raton, FL
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| 21-01216 | 12/08/2021 | Claimant(s): Henry Franscioni
Claimant Lawyers(s): Zachary Morse
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 21-01358 | 12/08/2021 | Claimant(s): Douglas Eaton
Claimant Lawyers(s): Michael Bessette
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Michael J. Biondi
Arbitrator(s): Patricia Kathleen Costello
Hearing Site: New York, NY
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| 20-03662 | 12/07/2021 | Claimant(s): Lowell Hart
Claimant Lawyers(s): John A. Mangones
Respondent(s): State Farm VP Management Corp.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Thomas C. Tretter, William Norton, Peter Andrew Marx
Hearing Site: Manchester, NH
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| 21-00206 | 12/07/2021 | Claimant(s): Claudio Gambin Neto
Claimant Lawyers(s): Harris Freedman
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Stuart K. Furman
Hearing Site: Orlando, FL
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| 21-00535 | 12/07/2021 | Claimant(s): Kevin Hodson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Mark Stuart Gurevitz
Hearing Site: Boston, MA
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| 21-00784 | 12/07/2021 | Claimant(s): Archie Morris
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
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| 21-01593 | 12/07/2021 | Claimant(s): Nicolas Rueda
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Robert G. Falbisaner
Hearing Site: Boca Raton, FL
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| 19-03817 | 12/06/2021 | Claimant(s): D. Blankenship
Claimant Lawyers(s): Frances Menzer
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Robert L. Gonser
Arbitrator(s): David Sear, Randy R. Maher, Thomas L. Marshall
Hearing Site: San Diego, CA
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