| 20-02815 | 07/20/2021 | Claimant(s): James Waninger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): George G. Kurschner
Hearing Site: Louisville, KY
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| 20-02901 | 07/20/2021 | Claimant(s): Scott Allen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Terry M Lloyd
Hearing Site: Salt Lake City, UT
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| 20-03207 | 07/20/2021 | Claimant(s): Scott Fitzgerald
Claimant Lawyers(s): Louis Tambaro
Respondent(s): Royal Alliance Associates., Vanderbilt Securities
Respondent Lawyers(s): Charles M. O'Rourke, James V. Noblett
Arbitrator(s): Eugene G. P. Byrne
Hearing Site: New York, NY
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| 20-03879 | 07/20/2021 | Claimant(s): Ana Pazmino
Claimant Lawyers(s): Darryl J. Bouganim
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Paul K. Barenholtz, Annamaria Boccia Smith, Edward W. Morris
Hearing Site: New York, NY
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| 20-02376 | 07/19/2021 | Claimant(s): Debra Bushman
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Eric Goldman
Hearing Site: New York, NY
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| 20-02902 | 07/19/2021 | Claimant(s): Robert Greulich
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): The Equitable Life Assurance Society of
Respondent Lawyers(s): Alvin H. Fenichel
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
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| 20-03197 | 07/19/2021 | Claimant(s): David Ruckno
Claimant Lawyers(s): Mark Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Harvey R. Linder
Hearing Site: Columbia, SC
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| 20-03804 | 07/19/2021 | Claimant(s): Jonathan Short
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Patricia H. Latham
Hearing Site: Charlotte, NC
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| 21-00081 | 07/19/2021 | Claimant(s): John Wolff
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
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| 15-02780 | 07/16/2021 | Claimant(s): Rice Financial Products Company
Claimant Lawyers(s): Lisa-Sheri Torrence
Respondent(s): Devin Wicker, Bonwick Capital Partners
Respondent Lawyers(s): Marc Jonas Block
Arbitrator(s): Aubrey Lees, Susan Manca, Rebecca Ann Berlow
Hearing Site: New York, NY
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