| 20-02605 | 06/17/2021 | Claimant(s): Frederick Baerenz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kalos Capital.
Respondent Lawyers(s): John Dillon
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
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| 20-02649 | 06/17/2021 | Claimant(s): Ying Zhang
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Patrick Mulligan
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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| 17-01718 | 06/16/2021 | Claimant(s): Kayvan Karoon, KS Capital Management
Claimant Lawyers(s): Philip L. Guarino
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Leslie Ruth Nydick, James M. Rhodes, Antonio Di Palma
Hearing Site: Jersey City, NJ
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| 20-01471 | 06/16/2021 | Claimant(s): Craig Pearlman
Claimant Lawyers(s): Jacob L. Kahn
Respondent(s): MMC Securities LLC
Respondent Lawyers(s): Benjamin Emmert
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
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| 20-02319 | 06/16/2021 | Claimant(s): Ameriprise Financial Services
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Daniel Ascani
Respondent Lawyers(s): Daniel Leonard Ascani
Arbitrator(s): Scott Manker, Gary Frederick Birnberg, Brian Arthur Rubino
Hearing Site: Boca Raton, FL
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| 20-02483 | 06/16/2021 | Claimant(s): Richard Michalski
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Casimir Capital L.P.
Respondent Lawyers(s): William Poon
Arbitrator(s): Anthony Michael Sabino
Hearing Site: New York, NY
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| 20-03123 | 06/16/2021 | Claimant(s): Timothy Tremblay
Claimant Lawyers(s): Tyson W. Kovash
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Bryan Gless
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
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| 19-02858 | 06/15/2021 | Claimant(s): Barney Greengrass
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Joseph J. Arata, Nicholas J. Donohue, James M. Rhodes
Hearing Site: New York, NY
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| 20-01971 | 06/15/2021 | Claimant(s): Weild & Co.
Claimant Lawyers(s): Elliott M. Kroll
Respondent(s): Tradesman Program Managers
Respondent Lawyers(s): Mitchell Schuster
Arbitrator(s): Ted M. Rosen, Paul J. Camilleri, Anthony Michael Sabino
Hearing Site: New York, NY
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| 20-02590 | 06/15/2021 | Claimant(s): Richy Scoggin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
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