20-03118 | 09/15/2021 | Claimant(s): Jay Cunningham Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Paul Yarns Arbitrator(s): James J. Stamos Hearing Site: Chicago, IL
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21-00023 | 09/15/2021 | Claimant(s): Grant Cleghorn, Stephen Saeta Claimant Lawyers(s): Zachary Morse Respondent(s): Parnassus Funds Distributor Respondent Lawyers(s): Maria L. Kreiter Arbitrator(s): Daniel M. Yamshon Hearing Site: San Francisco, CA
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21-00356 | 09/15/2021 | Claimant(s): Thomas Seiler Claimant Lawyers(s): Benjamin J. Biard Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A Pizzitola Arbitrator(s): John J. Jordan, Thomas Naylor, Kathleen Jones Spilker Hearing Site: Philadelphia, PA
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18-03815 | 09/14/2021 | Claimant(s): Robert McCabe Claimant Lawyers(s): Jonathan B. Butler Respondent(s): Morgan Stanley Respondent Lawyers(s): Beth A. Black Arbitrator(s): Herbert Branitsky, Ellen J. Abrams, Laura Jeanette Bornheimer Hearing Site: Boca Raton, FL
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20-02489 | 09/14/2021 | Claimant(s): Debra Bushman Claimant Lawyers(s): Bradley D. Schnur Respondent(s): Janney Montgomery Scott LLC Respondent Lawyers(s): Jill B. Clarke Arbitrator(s): Karen Isabel Bedrosian - Richardson Hearing Site: New York, NY
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20-03151 | 09/14/2021 | Claimant(s): Matthew West Claimant Lawyers(s): Dochtor Kennedy Respondent(s): USCA RIA LLC, USCA Securities LLC Respondent Lawyers(s): Therese L. Surprenant Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX
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21-00468 | 09/14/2021 | Claimant(s): Tim Chen Claimant Lawyers(s): George C. Miller Respondent(s): M. S. Howells & Co. Respondent Lawyers(s): Robert L. Hill Arbitrator(s): Robert E. Jenks Hearing Site: Los Angeles, CA
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21-01544 | 09/14/2021 | Claimant(s): LPL Financial LLC Claimant Lawyers(s): John W. Joyce Respondent(s): Cesar Olivares Respondent Lawyers(s): Cesar Emilio Olivares Arbitrator(s): Michael S. Yauch Hearing Site: Houston, TX
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19-02202 | 09/13/2021 | Claimant(s): Scott Ratajczak Claimant Lawyers(s): Christopher P. Milazzo Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Julie Fleming-Wolfe Arbitrator(s): Catherine Stewart, Robert E. Anderson, John Herbert Grefe Hearing Site: Jersey City, NJ
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20-03101 | 09/10/2021 | Claimant(s): Phil Scott Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Jane Ann McKenzie Hearing Site: Seattle, WA
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