| 17-03201 | 07/06/2021 | Claimant(s): Curtis Broom, Joseph Moore
Claimant Lawyers(s): Andrew Allen
Respondent(s): AXA Advisors, AXA Network LLC
Respondent Lawyers(s): Matthew I. Penfield
Arbitrator(s): Fern H Singer
Hearing Site: Birmingham, AL
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| 20-02741 | 07/06/2021 | Claimant(s): Richard Iannacone
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Jim Geiger
Hearing Site: Manchester, NH
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| 20-02995 | 07/06/2021 | Claimant(s): Bin Zhai
Claimant Lawyers(s): Chelsea Masters
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
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| 20-02996 | 07/06/2021 | Claimant(s): Daniel Steichen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
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| 20-03011 | 07/06/2021 | Claimant(s): Brice Redmond
Claimant Lawyers(s): Erika C. Binnix
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
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| 20-03440 | 07/06/2021 | Claimant(s): Andrew Ruboyianes
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Morris S. Getzels, Stephanie P. Lebhar, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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| 20-00013 | 07/02/2021 | Claimant(s): Mark Black
Claimant Lawyers(s): Victor Bayata
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Sharon R. Merriman, Pamela K. Ginsburg, David Winchester Peck
Hearing Site: Cincinnati, OH
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| 20-02034 | 07/02/2021 | Claimant(s): Shomir Mukherjee
Claimant Lawyers(s): Steve A. Buchwalter
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Erik R. Siering, Constance Ellen Boukidis, Brant Jackson Griffin
Hearing Site: Los Angeles, CA
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| 20-02464 | 07/02/2021 | Claimant(s): David Weinstein
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Dawson James Securities.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
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| 20-02633 | 07/02/2021 | Claimant(s): Brian Vosberg
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Bryan Gless
Arbitrator(s): Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
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