| 18-03389 | 09/17/2021 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Andrew Froman
Respondent(s): Roberto 'Tucker' Lopez
Respondent Lawyers(s): Roberto Tucker Maria Lopez
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
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| 19-01727 | 09/17/2021 | Claimant(s): Luis Cota
Claimant Lawyers(s): Christopher A. Macey
Respondent(s): Susquehanna International Group, LLP
Respondent Lawyers(s): Erin K. Clarke
Arbitrator(s): M. Melvin Shralow, Andrew S. Walsh, Elizabeth Ann Morgan
Hearing Site: Philadelphia, PA
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| 20-01332 | 09/17/2021 | Claimant(s): Chun Zhu
Claimant Lawyers(s): Chun Mei (Ida) Zhu
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Jeffrey D. Hanslick
Arbitrator(s): Katherine Hendricks, William J. Bender, Craig Charles Beles
Hearing Site: Seattle, WA
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| 20-03020 | 09/17/2021 | Claimant(s): James Clemensen
Claimant Lawyers(s): Harris Freedman
Respondent(s): Cliftonlarsonallen Wealth Advisors
Respondent Lawyers(s): Brian J. Buffie
Arbitrator(s): Gerald Thomas Harper
Hearing Site: Orlando, FL
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| 21-00170 | 09/17/2021 | Claimant(s): Lisa Kulhavi
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
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| 21-01152 | 09/17/2021 | Claimant(s): Kent Kirby
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Harvey R. Linder
Hearing Site: Nashville, TN
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| 20-03119 | 09/16/2021 | Claimant(s): Michael Fasciglione
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation, First Montauk Securities Corp.
Respondent Lawyers(s): Emily A. Hayes, Robert I. Rabinowitz
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
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| 20-03651 | 09/16/2021 | Claimant(s): Bradley Thompson
Claimant Lawyers(s): Harris Freedman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
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| 21-00156 | 09/16/2021 | Claimant(s): Payden Bullis, Rene Rojas
Claimant Lawyers(s): David Monsour
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Rachael Conley
Arbitrator(s): Sandra L. Malek
Hearing Site: Phoenix, AZ
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| 20-01798 | 09/15/2021 | Claimant(s): Elvie Moore, Esther Buckram, Maureen Dowe
Claimant Lawyers(s): Max Folkenflik
Respondent(s): Eric Schwimmer, Prudential Financial.
Respondent Lawyers(s): Vincent A. Sama
Arbitrator(s): Leona Beane, Linda J. Baer, Noah Jonathan Hanft
Hearing Site: New York, NY
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