| 20-03790 | 10/19/2021 | Claimant(s): Mary LaPlante
Claimant Lawyers(s): Mary LaPlante
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Paul R. Klein
Arbitrator(s): Kenneth R. Starr, Brian Michael Kane, Niels Patrick Murphy
Hearing Site: Jacksonville, FL
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| 19-01064 | 10/18/2021 | Claimant(s): Kenneth Kwalik
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Eric A. Bensky
Arbitrator(s): Amy Jill Baranoff, Andrew Daniel Levine, Donald Francese
Hearing Site: New York, NY
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| 20-02176 | 10/18/2021 | Claimant(s): Justin Murphy
Claimant Lawyers(s): Gary R. Irwin
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Larry N. Litt, Jonathan B. Gilbert, Ansis Viksnins
Hearing Site: Minneapolis, MN
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| 21-00426 | 10/18/2021 | Claimant(s): Trident Partners Ltd.
Claimant Lawyers(s): Eric J. Sussman
Respondent(s): Timothy Flynn
Respondent Lawyers(s): Timothy Michael Flynn
Arbitrator(s): Mary Julia O'Connell
Hearing Site: New York, NY
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| 18-03893 | 10/15/2021 | Claimant(s): Shawn Lawson
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Ronald G. Guida, Richard Djokic, Henry Zabarsky
Hearing Site: Denver, CO
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| 20-03002 | 10/15/2021 | Claimant(s): Marko Rendic
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Sara L. Velez Santiago
Arbitrator(s): Mark C. Perry
Hearing Site: San Juan, PR
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| 20-04159 | 10/15/2021 | Claimant(s): Glen Simmonds
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Michael P. Schiff, Paul J. Burkhart, James Michael LaBonte
Hearing Site: Boca Raton, FL
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| 21-00546 | 10/15/2021 | Claimant(s): Kristina Connell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Grove Point Investments
Respondent Lawyers(s): Matt Winterhalter
Arbitrator(s): Linda J. Baer
Hearing Site: Wilmington, DE
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| 21-00761 | 10/15/2021 | Claimant(s): Angel Canabal
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): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 21-01049 | 10/15/2021 | Claimant(s): Francisco Landivar
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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