| 20-02823 | 02/19/2021 | Claimant(s): Faith Xenos
Claimant Lawyers(s): John Stewart
Respondent(s): MSEC
Respondent Lawyers(s): Susan Xouris
Arbitrator(s): Louis David Huss
Hearing Site: Boca Raton, FL
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| 20-03659 | 02/19/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): William Quinn
Respondent Lawyers(s): William F. Quinn
Arbitrator(s): George G. Kurschner
Hearing Site: Boca Raton, FL
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| 18-00573 | 02/18/2021 | Claimant(s): Frank Cuenca, Timothy Sullivan
Claimant Lawyers(s): Frank F. Sommers
Respondent(s): National Planning Holding LLC, SII Investments.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Barbara M. Anscher, Thomas Arthur Cohen, Christopher Cother Powers
Hearing Site: San Francisco, CA
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| 19-03387 | 02/18/2021 | Claimant(s): Allied Millennial Partners
Claimant Lawyers(s): Robert M. Bursky
Respondent(s): Ross Gladstone
Respondent Lawyers(s): Stuart N. Kaplan
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
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| 20-00939 | 02/18/2021 | Claimant(s): James Azeltine
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Ann McCague
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
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| 20-01856 | 02/18/2021 | Claimant(s): RICARDO EBOLI-KODESH
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): Christopher J. Klein
Hearing Site: San Juan, PR
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| 20-02621 | 02/18/2021 | Claimant(s): Randall Childress
Claimant Lawyers(s): Brian Luther
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan Hackbarth
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX
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| 20-02657 | 02/18/2021 | Claimant(s): Everett Weinberger, William Giordano
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
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| 20-02828 | 02/18/2021 | Claimant(s): Nicolas Meyer
Claimant Lawyers(s): James P. Galvin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Indianapolis, IN
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| 19-01044 | 02/17/2021 | Claimant(s): Shawna Mead
Claimant Lawyers(s): Shawna Danette Mead
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Robert L. Chase, Robert M. Singer, Karen Kim
Hearing Site: Hartford, CT
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