| 20-00631 | 05/27/2021 | Claimant(s): US Capital Global Securities
Claimant Lawyers(s): George Murray Hudson
Respondent(s): Emerge Real Estate Group, Noble Capital Fund Management, Noble Capital Group, Noble Capital Servicing LLC, Streamline Funding Group
Respondent Lawyers(s): Jason M. Hopkins
Arbitrator(s): Robert C. Rice
Hearing Site: Houston, TX
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| 20-01486 | 05/27/2021 | Claimant(s): Orion Willis
Claimant Lawyers(s): Jennifer P. Ferrar
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael T. West
Arbitrator(s): Roger A. Geddes
Hearing Site: Phoenix, AZ
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| 20-02780 | 05/27/2021 | Claimant(s): Christopher Cort
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Joan M. Traub
Hearing Site: Jersey City, NJ
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| 20-03122 | 05/27/2021 | Claimant(s): Calvin Halterman
Claimant Lawyers(s): Tyson W. Kovash
Respondent(s): LPL Financial LLC, Centaurus Financial.
Respondent Lawyers(s): Bryan Gless, Kelsey Vasko
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
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| 21-00137 | 05/27/2021 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing,
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Jeanette Stofleth
Respondent Lawyers(s): Donna Mack
Arbitrator(s): Robert M Stein
Hearing Site: Seattle, WA
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| 20-01411 | 05/26/2021 | Claimant(s): Edward Tyree, Tammy Hillman
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): RBC Capital Markets LLC, Richard Ruckart
Respondent Lawyers(s): Amanda E. Colvin
Arbitrator(s): Chase Boone Saunders, Richard E. Miley, Kathleen Dooley
Hearing Site: Charlotte, NC
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| 20-02831 | 05/26/2021 | Claimant(s): Robert Amoruso
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Johan E. Tatoy
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
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| 20-03163 | 05/26/2021 | Claimant(s): Bruce Slater
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Tampa, FL
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| 20-03367 | 05/26/2021 | Claimant(s): Stephen Bender
Claimant Lawyers(s): Brian Luther
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Francis A. King
Hearing Site: Pittsburgh, PA
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| 20-02411 | 05/25/2021 | Claimant(s): Peter Schiff
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): A.G.P. / Alliance Global Partners
Respondent Lawyers(s): John Venezia
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
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