| 20-04058 | 08/23/2021 | Claimant(s): Thomas Chaney
Claimant Lawyers(s): James P Galvin
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Gene R Thornton, John J. Fitzpatrick, Mary Margaret Bush
Hearing Site: Albuquerque, NM
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| 20-04154 | 08/20/2021 | Claimant(s): George Stefanou
Claimant Lawyers(s): Harris Freedman
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan Hackbarth
Arbitrator(s): Mitchel Weiss
Hearing Site: Orlando, FL
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| 21-00059 | 08/20/2021 | Claimant(s): Edgardo Ferrer
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
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| 21-00383 | 08/20/2021 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Sean Martin
Respondent Lawyers(s): Sean Rierson Martin
Arbitrator(s): Thomas B. Corey
Hearing Site: Baltimore, MD
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| 19-02669 | 08/19/2021 | Claimant(s): Edward Taylor
Claimant Lawyers(s): Jay W. Waldman
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): N. Nancy Ghabai
Arbitrator(s): Diane Ciccone, John T. Hausladen, Joseph J. Dougherty
Hearing Site: Philadelphia, PA
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| 20-00524 | 08/19/2021 | Claimant(s): Curtis Parry
Claimant Lawyers(s): Chelsea Masters
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
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| 20-02454 | 08/19/2021 | Claimant(s): Stuart Updegrove
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation, Eastbrook Capital Group LLC
Respondent Lawyers(s): Edward Sampson, Emily Hayes
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
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| 20-02713 | 08/19/2021 | Claimant(s): Roger Monteforte
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Brauer & Associates., Joseph Gunnar & Co. LLC
Respondent Lawyers(s): Gerald Brauer, Peter Bon Viso
Arbitrator(s): Susan Romano
Hearing Site: New York, NY
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| 20-03130 | 08/19/2021 | Claimant(s): Jane Marie Sullivan
Claimant Lawyers(s): Zachary Morse
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
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| 21-00033 | 08/19/2021 | Claimant(s): Neer Hodorov
Claimant Lawyers(s): Harry Sherman
Respondent(s): Leumi Investment Services.
Respondent Lawyers(s): Christopher J. Gawley
Arbitrator(s): Michael H DuBoff, Andrew Robert Kosloff, Edmund Timothy Donovan
Hearing Site: New York, NY
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