| 20-03198 | 09/30/2021 | Claimant(s): David Ruckno
Claimant Lawyers(s): Mark S. Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Stuart K. Furman
Hearing Site: Columbia, SC
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| 21-00933 | 09/30/2021 | Claimant(s): Vineeta Prasad
Claimant Lawyers(s): Vineeta Prasad
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Michael Harrison, Joseph Winter, Deana La Barbera
Hearing Site: Los Angeles, CA
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| 19-03104 | 09/29/2021 | Claimant(s): Paul Murphy
Claimant Lawyers(s): Chad Weaver
Respondent(s): Calton & Associates., J.P. Turner & Company, Newport Coast Securities.
Respondent Lawyers(s): Benjamin J. Biard, Christopher A. Cokinis, Kevin Lee
Arbitrator(s): Gayle B. Carlson
Hearing Site: Orlando, FL
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| 20-00680 | 09/28/2021 | Claimant(s): Thomas Howes
Claimant Lawyers(s): Thomas Howes
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffery A. Sturgeon
Arbitrator(s): David Paul Clark, Peter J. Pokorny, Thomas Nicastro
Hearing Site: Washington, DC
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| 20-03154 | 09/28/2021 | Claimant(s): Matthew Fleissner
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
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| 21-00348 | 09/28/2021 | Claimant(s): Kristopher Etter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): IMS Securities.
Respondent Lawyers(s): Jackie Wadsworth
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
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| 21-01338 | 09/28/2021 | Claimant(s): David Bunin
Claimant Lawyers(s): Cynthia R. Moulton
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Peter E. Gillespie
Hearing Site: New York, NY
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| 17-02850 | 09/27/2021 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): William Paynter
Respondent Lawyers(s): Laurence M. Landsman
Arbitrator(s): Richard D. Fincher, Floyd Gerry Hoffman, Dean Jackson Call
Hearing Site: Phoenix, AZ
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| 20-02707 | 09/27/2021 | Claimant(s): Erik Feldhaus
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BMO Harris Financial Advisors.
Respondent Lawyers(s): Maria L. Kreiter
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
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| 20-03148 | 09/27/2021 | Claimant(s): Michael Fasciglione
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation, Oppenheimer & Co..
Respondent Lawyers(s): Emily A. Hayes, Nicola Anne Murphy
Arbitrator(s): Amy Jill Baranoff
Hearing Site: New York, NY
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