| 20-03270 | 09/27/2021 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Fred Knopf
Respondent(s): Kurt Stein
Respondent Lawyers(s): Kurt Anthony Stein
Arbitrator(s): Peter A. Seibel, John Farrell Connor, Noah Jonathan Hanft
Hearing Site: New York, NY
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| 20-02854 | 09/24/2021 | Claimant(s): Jonathan Legg
Claimant Lawyers(s): Adam M Kauff
Respondent(s): Legg Mason Wood Walker, B. Riley Securities.
Respondent Lawyers(s): Michael Markunas, Rosemary Francavilla
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
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| 20-03475 | 09/24/2021 | Claimant(s): Russell McLean
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securian Financial Services.
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): Peter Khalil
Hearing Site: Portland, OR
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| 20-03552 | 09/24/2021 | Claimant(s): Ian Rodgers
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Donald Dreyfus
Hearing Site: Phoenix, AZ
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| 21-00697 | 09/24/2021 | Claimant(s): Richard Bellew
Claimant Lawyers(s): Owen Harnett
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Irisa Chen
Arbitrator(s): Steven S. Manos
Hearing Site: Boston, MA
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| 20-00147 | 09/23/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Stuart Cohen
Respondent Lawyers(s): Brenda Kay Brown
Arbitrator(s): Erik R. Siering, David Neil Salmon, Richard L Galin
Hearing Site: Las Vegas, NV
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| 20-00377 | 09/23/2021 | Claimant(s): Benjamin Mahdavi
Claimant Lawyers(s): Frances Menzer
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Scott T. Nonaka
Arbitrator(s): Barbara M. Anscher
Hearing Site: San Francisco, CA
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| 20-03165 | 09/23/2021 | Claimant(s): Vincent Panizzi
Claimant Lawyers(s): Harry Meyer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Detroit, MI
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| 20-03766 | 09/23/2021 | Claimant(s): Christopher Bond
Claimant Lawyers(s): Craig A. Riha
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily Hayes
Arbitrator(s): Steven J. Petrie, Anna M. Fanelli, Royce Russell
Hearing Site: New York, NY
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| 20-03883 | 09/23/2021 | Claimant(s): Daniel Baumgartel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Seattle, WA
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