| 18-03543 | 08/13/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Kimberly Rule
Respondent Lawyers(s): Kimberly Kay Rule
Arbitrator(s): Frances Johnson Wright, Kenneth Joe Gold, Robert E. Luxen
Hearing Site: Dallas, TX
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| 20-03361 | 08/13/2021 | Claimant(s): Kenneth Arellano
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): John Francis Markuns
Hearing Site: Syracuse, NY
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| 20-04108 | 08/13/2021 | Claimant(s): Samuel Monchik
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Wilmington, DE
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| 19-01296 | 08/12/2021 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Ronald Behymer
Respondent Lawyers(s): Niel Prosser
Arbitrator(s): Kenneth R. Starr, Chirag Dinesh Chauhan, Robert Stewart Barney
Hearing Site: Memphis, TN
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| 21-00516 | 08/12/2021 | Claimant(s): Jennifer Duncan
Claimant Lawyers(s): Ann Sullivan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Richard James Igou
Hearing Site: Richmond, VA
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| 21-00863 | 08/12/2021 | Claimant(s): Michael Rudelson
Claimant Lawyers(s): Cynthia R Moulton
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Shawn Shook
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 21-01539 | 08/12/2021 | Claimant(s): Gregory Shanaphy
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
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| 18-01448 | 08/11/2021 | Claimant(s): Patrick Mullen
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): Key Investment Services LLC
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Elliot B. Platt, Diane Ciccone, Christopher Robert Madel
Hearing Site: Philadelphia, PA
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| 19-02480 | 08/11/2021 | Claimant(s): Frederick Williams
Claimant Lawyers(s): Daniel Scott Furst
Respondent(s): Richard Giles, GFI Securities LLC
Respondent Lawyers(s): Nirav S. Shah
Arbitrator(s): Andrew Joseph Donovan, Mitchell Regenbogen, James Stanley Kozera
Hearing Site: New York, NY
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| 20-02832 | 08/11/2021 | Claimant(s): Douglas Miller
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Silver Oak Securitiesorporated
Respondent Lawyers(s): William E, Hopkins
Arbitrator(s): Sean Alan D'Amico
Hearing Site: Hartford, CT
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