| 20-02763 | 04/21/2021 | Claimant(s): Timothy Hassell
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Newport Coast Securities.
Respondent Lawyers(s): Kevin Lee
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
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| 20-02936 | 04/21/2021 | Claimant(s): Eric Wegner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Parkland Securities
Respondent Lawyers(s): Randolph F. Pistor
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
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| 20-03178 | 04/21/2021 | Claimant(s): Todd Anderson
Claimant Lawyers(s): Ross J. Kartez
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Timothy J. Kroll
Hearing Site: Phoenix, AZ
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| 20-02121 | 04/20/2021 | Claimant(s): Randall Long
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Integrated Resources Equity Corporation
Respondent Lawyers(s): Gary Swiman
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
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| 20-02765 | 04/20/2021 | Claimant(s): Timothy Hassell
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Roth Capital Partners
Respondent Lawyers(s): Richard Platt
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
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| 20-02915 | 04/20/2021 | Claimant(s): HAROLD BESHAW
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): M&T Securities.
Respondent Lawyers(s): Elizabeth R. Bailey
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
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| 20-02981 | 04/20/2021 | Claimant(s): Lawrence Cane
Claimant Lawyers(s): Frances Menzer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Natalie Panossian-Bassler
Hearing Site: Los Angeles, CA
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| 20-03115 | 04/20/2021 | Claimant(s): Michelle Young
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
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| 20-03253 | 04/20/2021 | Claimant(s): Mario Saravia Garcia
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Wallstreet*E Financial Services.
Respondent Lawyers(s): Carlos Francisco Otalvaro
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
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| 20-02282 | 04/19/2021 | Claimant(s): Dennis Herrera
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Aegis Capital Corp., Blackbook Capital, Charles Vista LLC, Hunter Scott Financial LLC, John Thomas Financial
Respondent Lawyers(s): Anthony C. Naccarelli, Franklin Ogele, Gregg Lorenzo, Maria Cummings, Peter Gouzos
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
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