| 20-02964 | 03/16/2021 | Claimant(s): Michael Capobianco
Claimant Lawyers(s): John A. Mangones
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Tyler Schubauer
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
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| 20-00767 | 03/15/2021 | Claimant(s): Matthew Sotland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Kevin R. Zehe
Hearing Site: Buffalo, NY
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| 20-00858 | 03/15/2021 | Claimant(s): William Serralles
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Seth L. Finkel
Hearing Site: San Juan, PR
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| 20-01106 | 03/15/2021 | Claimant(s): Joseph Williams
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): M. Todd Sullivan
Arbitrator(s): Michael E. Weddington, Michael J. Pasquale, Charles Robert Moore
Hearing Site: Raleigh, NC
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| 20-01557 | 03/15/2021 | Claimant(s): John Canada
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): New England Securities Corporation
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Maxel (Bud) B Silverberg
Hearing Site: Dallas, TX
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| 20-02493 | 03/15/2021 | Claimant(s): Christopher Ficara
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Morris S. Getzels
Hearing Site: San Diego, CA
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| 20-02554 | 03/15/2021 | Claimant(s): Becky Mathre
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 20-03174 | 03/15/2021 | Claimant(s): David Donat
Claimant Lawyers(s): Stephan Louviere
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Peter H. Daly
Hearing Site: Rapid City, SD
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| 20-03520 | 03/15/2021 | Claimant(s): Sean Dobranich
Claimant Lawyers(s): James P. Galvin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Mary M. O'Neil, Nicholas John Reiter, William Ogburn Huggins
Hearing Site: Las Vegas, NV
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| 20-01368 | 03/12/2021 | Claimant(s): Erin Murphy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Providence, RI
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