| 19-02188 | 01/08/2021 | Claimant(s): Sandra Etienne
Claimant Lawyers(s): Locksley O. Wade
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Anna Matsuo
Arbitrator(s): Madelon M. Rosenfeld, Robert E. Anderson, Roger B. Jacobs
Hearing Site: New York, NY
| | |
| 20-01606 | 01/08/2021 | Claimant(s): James Springer
Claimant Lawyers(s): Nisha S. Wright
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Edward R. Niederriter, Sheryl Sagel, Justin Wallace Askins
Hearing Site: Boca Raton, FL
| | |
| 19-02828 | 01/07/2021 | Claimant(s): George Kauffman
Claimant Lawyers(s): George W. Kauffman
Respondent(s): American Portfolios Financial Srvs., Robert Bartolotta, Torrey Giancursio
Respondent Lawyers(s): Gordon S. Dickens, Richard J. Babnick, Torrey Giancursio
Arbitrator(s): Barry Goldman, Ronald F Thompson, James Daniel Schultz
Hearing Site: Buffalo, NY
| | |
| 20-00872 | 01/07/2021 | Claimant(s): John Beloin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Sean Alan D'Amico
Hearing Site: Hartford, CT
| | |
| 20-01188 | 01/07/2021 | Claimant(s): Rinaldo Crassa
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): James Alexander Brown
Hearing Site: New York, NY
| | |
| 20-02080 | 01/06/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Scott Kaufman
Respondent Lawyers(s): Michael R. McFarlin
Arbitrator(s): John J. Jordan, Robert C. Scanlan, Mark H. Stein
Hearing Site: Philadelphia, PA
| | |
| 19-01048 | 12/31/2020 | Claimant(s): Dillon Pacholek
Claimant Lawyers(s): Cody L. Towns
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Sarah E. Moffett
Arbitrator(s): Karen Roberts Washington, Phyllis Sandra Hill, Alonso Buitron
Hearing Site: Dallas, TX
| | |
| 20-01371 | 12/31/2020 | Claimant(s): Ian James
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Annie Zaffuto
Arbitrator(s): C. Sumpter Logan
Hearing Site: New Orleans, LA
| | |
| 20-01457 | 12/31/2020 | Claimant(s): Kelly Richards
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Capital Investment Group.
Respondent Lawyers(s): Steven Blair Wilson
Arbitrator(s): Merton E. Marks
Hearing Site: Phoenix, AZ
| | |
| 20-02422 | 12/31/2020 | Claimant(s): William Borders
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Mark A. Sipper
Hearing Site: Louisville, KY
| | |
