| 20-03546 | 08/11/2021 | Claimant(s): James Segal
Claimant Lawyers(s): Michael P. Shaw
Respondent(s): Cambridge Investment Research.L Financial LLC
Respondent Lawyers(s): Richard H. Kuhlman, Sara B. Davis
Arbitrator(s): C Gregory Ellison, David L. Ruderman
Hearing Site: Baltimore, MD
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| 20-04107 | 08/11/2021 | Claimant(s): Richard Braverman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
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| 18-02273 | 08/10/2021 | Claimant(s): Thomas Devane
Claimant Lawyers(s): James Halter
Respondent(s): Joseph Gawronski, Vikas Shah, Rosenblatt Securities Inc., Rossoff & Co. LLC
Respondent Lawyers(s): Andrew J. Goodman, Kate E. DiGeronimo
Arbitrator(s): Terrance J. Nolan, Keith Roberts, Clive I. Morrick
Hearing Site: New York, NY
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| 18-03403 | 08/10/2021 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Andrew Froman
Respondent(s): Veronica Gillotte
Respondent Lawyers(s): Veronica Gillotte
Arbitrator(s): Kimberly A. Gilmour, Susan M. Dunning, Robert G. Geeseman
Hearing Site: Boca Raton, FL
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| 20-00222 | 08/10/2021 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Anthony J. Borrelli
Respondent(s): Kenneth Senvisky
Respondent Lawyers(s): Jeffrey C. Miller
Arbitrator(s): Robert M. Shwab, Robert H. Baker, Kevin Brodar
Hearing Site: Cleveland, OH
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| 20-02975 | 08/10/2021 | Claimant(s): James Barbi
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Eastbrook Capital Group LLC
Respondent Lawyers(s): Edward Sampson
Arbitrator(s): Josian Antoine
Hearing Site: New York, NY
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| 20-03060 | 08/10/2021 | Claimant(s): Christopher McDowall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Sara Lydia Velez Santiago
Arbitrator(s): Elena G. Rodriguez
Hearing Site: San Juan, PR
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| 20-03172 | 08/10/2021 | Claimant(s): Anita Brennan, Marina Tudela
Claimant Lawyers(s): Leslie Flores
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
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| 21-00071 | 08/10/2021 | Claimant(s): Barbara Heaton
Claimant Lawyers(s): Erika Binnix
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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| 19-03256 | 08/09/2021 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Ginamarie Schembre
Respondent Lawyers(s): Gina Schembre
Arbitrator(s): Amanda M. Cole
Hearing Site: Jacksonville, FL
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