| 20-02795 | 07/30/2021 | Claimant(s): Garland Homes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Richard James Igou
Hearing Site: Raleigh, NC
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| 20-02928 | 07/30/2021 | Claimant(s): Daniel Avan
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
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| 20-03144 | 07/30/2021 | Claimant(s): Garyn Angel
Claimant Lawyers(s): Joshua A Katz
Respondent(s): Invest Financial Corporation, Transamerica Financial Advisors
Respondent Lawyers(s): Eric A. Michaels, Susan D. Duff
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
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| 21-00980 | 07/30/2021 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): John B. Clark
Respondent(s): Steven Mitchell
Respondent Lawyers(s): Steven Jay Mitchell
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
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| 21-01239 | 07/30/2021 | Claimant(s): Kalyn Walker, Perry Zeigler
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Erik R. Siering
Hearing Site: San Diego, CA
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| 19-03751 | 07/29/2021 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Harold Harrison
Respondent Lawyers(s): Harold Walter Harrison
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
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| 20-03057 | 07/29/2021 | Claimant(s): Justin Bachman
Claimant Lawyers(s): Chelsea Masters
Respondent(s): Brokerbank Securities.
Respondent Lawyers(s): Philip Wright
Arbitrator(s): Ralph A. Cotton
Hearing Site: San Francisco, CA
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| 21-00250 | 07/28/2021 | Claimant(s): Peggy Lao
Claimant Lawyers(s): Peggy Pek-Van Lao
Respondent(s): UVEST Financial Services Group.
Respondent Lawyers(s): Sara Davis
Arbitrator(s): Michael Lancaster Garcia, Chicora Martin, Andrew Kennon Jennings
Hearing Site: San Francisco, CA
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| 20-00111 | 07/27/2021 | Claimant(s): Zbigniew Wojewnik
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Allstate Financial Services
Respondent Lawyers(s): Samantha Tesser Haimo
Arbitrator(s): Ray J. Grzebielski, Michael F. Jordan, Michael S. Gregory
Hearing Site: Chicago, IL
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| 20-01701 | 07/27/2021 | Claimant(s): Joon Rhee
Claimant Lawyers(s): Craig Riha
Respondent(s): Continental Broker-Dealer Corp.
Respondent Lawyers(s): Michael Clements
Arbitrator(s): Thomas M. Madden
Hearing Site: New York, NY
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