| 21-00527 | 10/29/2021 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Mark Boucher
Respondent Lawyers(s): Mark Joseph Boucher
Arbitrator(s): Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
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| 21-00917 | 10/29/2021 | Claimant(s): Lawrence Redell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): C. Evan Stewart
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
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| 20-03224 | 10/28/2021 | Claimant(s): Erik Drewes
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Kensington Wells Incorporated, American Capital Partners, South Richmond Securities.
Respondent Lawyers(s): Adam Levy, Bruce Jude Guarino, John Gardini
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
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| 20-03764 | 10/28/2021 | Claimant(s): William Tucker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MSI Financial Services.
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
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| 20-03995 | 10/27/2021 | Claimant(s): Michael Williams
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): Brian Shambo, Daniel Markow, Kyle Morgan, Merrill Lynch Pierce Fenner & Smith Inc., Thomas Nelson
Respondent Lawyers(s): Rachael Luken Carp
Arbitrator(s): Lawrence Alan Saichek, Will Murphy, Magda M. Fernandez Torres
Hearing Site: Boca Raton, FL
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| 21-00484 | 10/27/2021 | Claimant(s): Eddie Ghabour
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equity Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
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| 21-01046 | 10/27/2021 | Claimant(s): Tina Wang
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
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| 20-03039 | 10/26/2021 | Claimant(s): Roger Follis
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Robertson Stephens.
Respondent Lawyers(s): Vincent V. Mulcahy
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Washington, DC
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| 20-03228 | 10/26/2021 | Claimant(s): Gerald O'Halloran
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Kovack Securities Inc
Respondent Lawyers(s): Amy S. Towle
Arbitrator(s): David M. Snyder
Hearing Site: Tampa, FL
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| 21-00736 | 10/26/2021 | Claimant(s): David Rojas
Claimant Lawyers(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina
Arbitrator(s): Elena G. Rodriguez
Hearing Site: San Juan, PR
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