| 20-03453 | 04/30/2021 | Claimant(s): Equitable Advisors, Equitable Network
Claimant Lawyers(s): Amanda Sotak
Respondent(s): Dewayne Roberts
Respondent Lawyers(s): Dewayne Keith Roberts
Arbitrator(s): Robert E. Anderson
Hearing Site: Jersey City, NJ
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| 20-00737 | 04/29/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Aaron Chung
Respondent Lawyers(s): Aaron Moon-Young Chung
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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| 20-02571 | 04/29/2021 | Claimant(s): David Van Geffen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Bruce W. Barnes
Arbitrator(s): Allan R. Lazor
Hearing Site: New Orleans, LA
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| 20-02587 | 04/29/2021 | Claimant(s): William Kumm
Claimant Lawyers(s): Frances Menzer
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
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| 20-02680 | 04/29/2021 | Claimant(s): Max Sanel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Simon M. Levy
Arbitrator(s): Erik R. Siering
Hearing Site: Phoenix, AZ
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| 20-02972 | 04/29/2021 | Claimant(s): Jason Ortiz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): James A. Murphy
Hearing Site: Chicago, IL
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| 20-03171 | 04/29/2021 | Claimant(s): Anna Jenkins
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): William Michael Samsel
Hearing Site: San Francisco, CA
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| 20-03187 | 04/29/2021 | Claimant(s): Christopher Walker
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): C. Sumpter Logan
Hearing Site: Kansas City, MO
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| 20-03194 | 04/29/2021 | Claimant(s): Charles Miller
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Wells Fargo Clearing Services, Banc of America Investment Services Inc., Citicorp Investment Services
Respondent Lawyers(s): Adam Kauff, Demian J. Betz, Kathryn D. Perreault
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: Boca Raton, FL
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| 19-02827 | 04/28/2021 | Claimant(s): Mark Elko
Claimant Lawyers(s): John Stewart
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Allan S. Bloom
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: New York, NY
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