| 20-03038 | 11/30/2021 | Claimant(s): Joseph Glodek, Richard Libretti
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Marvin L. Schuldiner
Hearing Site: Jersey City, NJ
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| 21-00821 | 11/30/2021 | Claimant(s): George Reyes
Claimant Lawyers(s): George A Reyes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John T. DiNapoli
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
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| 20-00067 | 11/29/2021 | Claimant(s): Gary Deardorff
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): LPL Financial LLC, Next Financial Group.
Respondent Lawyers(s): John T. Unger, Sara B. Davis
Arbitrator(s): Michael Kelley
Hearing Site: Phoenix, AZ
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| 20-03939 | 11/29/2021 | Claimant(s): Ralph Basile
Claimant Lawyers(s): Alex E. Rogers
Respondent(s): George Madrigal, Penserra Securities
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Peter Bennett, Stephen L. Lister, Howard Alan Grinsberg
Hearing Site: Jersey City, NJ
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| 20-00928 | 11/24/2021 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Julian Pace
Respondent Lawyers(s): Jarrod J. Malone
Arbitrator(s): Langfred W. White, Cindy L. Anderson, Barry Allen Barr
Hearing Site: Jacksonville, FL
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| 20-03192 | 11/24/2021 | Claimant(s): David Ruckno
Claimant Lawyers(s): Mark S. Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): John P. Cullem
Hearing Site: Columbia, SC
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| 20-04071 | 11/24/2021 | Claimant(s): Alexander Cohen
Claimant Lawyers(s): Steven I. Adler
Respondent(s): Prudential Investment Mgmt Services LLC
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Michael H DuBoff, Joan M. Traub, Pavlos Papageorgiou
Hearing Site: New York, NY
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| 21-00221 | 11/24/2021 | Claimant(s): James Kennedy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Peter A. Goldman
Hearing Site: Albany, NY
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| 21-01019 | 11/24/2021 | Claimant(s): John Barber
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Julius Z. Frager
Hearing Site: Columbus, OH
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| 21-01170 | 11/24/2021 | Claimant(s): Sanjay Beach
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Tracy L. Allen
Hearing Site: Cleveland, OH
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