| 20-02396 | 02/26/2021 | Claimant(s): James Regier
Claimant Lawyers(s): Jon M. Stanfield
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
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| 20-02518 | 02/26/2021 | Claimant(s): David Bennett
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Robert M. Zimmerman
Arbitrator(s): Joel F. Martineau, Thomas J. Patka, Howard B. Scherer
Hearing Site: Tampa, FL
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| 20-02883 | 02/26/2021 | Claimant(s): Lauren Frahn
Claimant Lawyers(s): Jennifer Woods-Burke
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Mitra E. Niknam
Arbitrator(s): Louis H Miron
Hearing Site: Jersey City, NJ
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| 20-03225 | 02/26/2021 | Claimant(s): Joseph Mackey
Claimant Lawyers(s): Sarah K. Yates
Respondent(s): Cambridge Investment Research., MKD Wealth Coaches
Respondent Lawyers(s): Richard H. Kuhlman, Tim Mrock
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
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| 20-03273 | 02/26/2021 | Claimant(s): NYLife Securities LLC, New York Life Insurance Company
Claimant Lawyers(s): Richard F. Lubarsky
Respondent(s): Gina Adly
Respondent Lawyers(s): Gina Adly
Arbitrator(s): John Richard Lynch
Hearing Site: Boca Raton, FL
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| 19-00339 | 02/25/2021 | Claimant(s): Michelle Marquez
Claimant Lawyers(s): Philip M. Aidikoff
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
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| 19-01058 | 02/25/2021 | Claimant(s): Randee Paston
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Emily L. Milligan
Arbitrator(s): Joan Maxine Secofsky, Roberta Wolf, Paula Ellen Berg
Hearing Site: New York, NY
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| 20-02760 | 02/25/2021 | Claimant(s): Robert Smith
Claimant Lawyers(s): Sarah K. Yates
Respondent(s): BBVA Securities.
Respondent Lawyers(s): David S. Neel, Jr.
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
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| 19-03171 | 02/24/2021 | Claimant(s): Scott Eichel
Claimant Lawyers(s): Todd A. Gutfleisch
Respondent(s): NatWest Markets Securities Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Michael Jaffe, John K. Evans, Wallace Anthony Showman
Hearing Site: New York, NY
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| 20-00491 | 02/24/2021 | Claimant(s): Gerard Taylor
Claimant Lawyers(s): Michael Bessette
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
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