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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