| 20-03124 | 06/14/2021 | Claimant(s): Thomas Conway
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
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| 20-02549 | 06/11/2021 | Claimant(s): Michael Burkoff
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation, Joseph Gunnar & Co. LLC
Respondent Lawyers(s): Fred N. Knopf, Peter Bon Viso
Arbitrator(s): Roger B. Jacobs
Hearing Site: New York, NY
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| 20-02583 | 06/11/2021 | Claimant(s): Carnes Capital Corporation, Private Capital Management
Claimant Lawyers(s): Victor Bayata
Respondent(s): John Folz
Respondent Lawyers(s): Casey K. Weidenmiller
Arbitrator(s): Erika Deutsch Rotbart, Nofrey Matthew Fornaro, Montie J Labadie
Hearing Site: Boca Raton, FL
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| 20-02679 | 06/11/2021 | Claimant(s): Susan Moore
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Frances Johnson Wright
Hearing Site: Birmingham, AL
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| 20-03000 | 06/11/2021 | Claimant(s): Michael Maroni
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cincinnati, OH
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| 20-02794 | 06/10/2021 | Claimant(s): Daniel Neil
Claimant Lawyers(s): Frances Menzer
Respondent(s): Securities America.
Respondent Lawyers(s): Chad E. Weaver
Arbitrator(s): Robert E. Jenks
Hearing Site: San Diego, CA
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| 20-03121 | 06/10/2021 | Claimant(s): Marianne Smith
Claimant Lawyers(s): Brian Luther
Respondent(s): Edward Jones, Investors Capital Corp.
Respondent Lawyers(s): Bernard Breton, Jonathan Hackbarth
Arbitrator(s): Steven R. Rolnick
Hearing Site: Hartford, CT
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| 20-03558 | 06/10/2021 | Claimant(s): Lincoln Financial Securities Corporation
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Jason Fekete
Respondent Lawyers(s): Jason M. Fekete
Arbitrator(s): C Gregory Ellison, Gregory Hunter Mathews, Geoffrey A. Drucker
Hearing Site: Norfolk, VA
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| 20-03989 | 06/10/2021 | Claimant(s): Todd Calamita
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
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| 21-00583 | 06/10/2021 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing,
Claimant Lawyers(s): Elio F. Martinez
Respondent(s): Thomas Hagan
Respondent Lawyers(s): Thomas James Hagan
Arbitrator(s): Kenneth R. Starr
Hearing Site: Tampa, FL
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