| 20-03184 | 06/03/2021 | Claimant(s): William Fox
Claimant Lawyers(s): Robert Moses
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
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| 21-00541 | 06/03/2021 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Jennah Clark
Respondent Lawyers(s): Jennah Real Clark
Arbitrator(s): Michael S. Yauch
Hearing Site: Oklahoma City, OK
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| 20-04181 | 06/02/2021 | Claimant(s): William Williamson
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC, Santander Securities LLC
Respondent Lawyers(s): Daniel LaPenta, Sara B. Davis
Arbitrator(s): Michael H DuBoff
Hearing Site: Jersey City, NJ
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| 20-02292 | 06/01/2021 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Edward M. Yennock
Respondent(s): Brendan Kammerer
Respondent Lawyers(s): Brendan Kammerer
Arbitrator(s): Arthur J. Giacomarra, James A. Wills, Janice Wilson Allegretto
Hearing Site: Boston, MA
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| 20-02502 | 06/01/2021 | Claimant(s): Melissa Williams
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Christina Vourakis
Arbitrator(s): Craig Charles Beles
Hearing Site: Seattle, WA
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| 20-02855 | 06/01/2021 | Claimant(s): Brian Robinson
Claimant Lawyers(s): Jonathan Schwartz
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
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| 20-03023 | 06/01/2021 | Claimant(s): Peter Goffin
Claimant Lawyers(s): Joshua Bautz
Respondent(s): Wells Fargo Advisors Financial Network, NewBridge Securities Corp.
Respondent Lawyers(s): Gregg J. Breitbart, Patricia Cowart
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
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| 20-03958 | 06/01/2021 | Claimant(s): Jonathan Sard
Claimant Lawyers(s): James P. Galvin
Respondent(s): Purshe Kaplan Sterling Investments
Respondent Lawyers(s): David Purcell
Arbitrator(s): Michael J. Ahlstrom, Judith Stilz Ogden, Brian Francis Pocock
Hearing Site: Atlanta, GA
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| 21-00022 | 06/01/2021 | Claimant(s): Norbert Filian
Claimant Lawyers(s): Christopher Seps
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Brooks
Arbitrator(s): Leon Fox, Michael R. Sherwin, Stephen M. Parlier
Hearing Site: Chicago, IL
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| 18-02393 | 05/28/2021 | Claimant(s): Matthew Mooney, Williams Trading LLC
Claimant Lawyers(s): Matthew Brian Mooney
Respondent(s): David Williams, Michael Manaster
Respondent Lawyers(s): Ethan A. Brecher, Jeffrey H. Gray
Arbitrator(s): Wesley C. Wilson, John Kevin Williams, Richard James Igou
Hearing Site: Richmond, VA
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