| 20-01401 | 07/13/2021 | Claimant(s): Raymond James Financial Services., Raymond James Financial Services Advisor
Claimant Lawyers(s): Robert Jamieson
Respondent(s): William Hocutt
Respondent Lawyers(s): Anne T. Freeland
Arbitrator(s): Barbara Black, Clarence H. Hampton, Howard Moss Miles
Hearing Site: Birmingham, AL
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| 20-02801 | 07/13/2021 | Claimant(s): Andrew Fairchild
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 20-02916 | 07/12/2021 | Claimant(s): Thomas Sharp
Claimant Lawyers(s): Zachary Morse
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
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| 20-02992 | 07/12/2021 | Claimant(s): Kirk Mandlin
Claimant Lawyers(s): Chelsea Masters
Respondent(s): Edward Jones
Respondent Lawyers(s): Bentley P. Stansbury
Arbitrator(s): David William Hickman
Hearing Site: Seattle, WA
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| 20-03027 | 07/12/2021 | Claimant(s): Thomas Briguccia
Claimant Lawyers(s): Debra A. Jenks
Respondent(s): Spartan Capital Securities
Respondent Lawyers(s): Kim Monchik
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
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| 21-00092 | 07/12/2021 | Claimant(s): Ryan Hook
Claimant Lawyers(s): Jane L. Stafford
Respondent(s): Commerce Brokerage Services.
Respondent Lawyers(s): Douglas M. Weems
Arbitrator(s): M W Gear, Kelly T. Coughlin, Stephen Douglas Bonney
Hearing Site: Kansas City, MO
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| 18-04216 | 07/09/2021 | Claimant(s): Andrew Safran
Claimant Lawyers(s): Jonathan S. Sack
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Paul R. Walsh, Richard A. Cini, Mitchell Regenbogen
Hearing Site: New York, NY
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| 20-02146 | 07/09/2021 | Claimant(s): Hernan Fonseca
Claimant Lawyers(s): Harris Freedman
Respondent(s): Amfin Investment Services.
Respondent Lawyers(s): Carol S. Severino
Arbitrator(s): Herbert Branitsky
Hearing Site: Boca Raton, FL
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| 20-02684 | 07/09/2021 | Claimant(s): Charles Lawless
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Mesirow Financial.
Respondent Lawyers(s): Jeffrey Levine
Arbitrator(s): Donald M. Thompson
Hearing Site: Chicago, IL
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| 20-03470 | 07/09/2021 | Claimant(s): Clayton Shum
Claimant Lawyers(s): Harris Freedman
Respondent(s): First Midwest Securities.
Respondent Lawyers(s): David Nevinski
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
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