| 20-00024 | 12/14/2020 | Claimant(s): Deborah Sandeno
Claimant Lawyers(s): F. Chet Taylor
Respondent(s): The Oak Ridge Financial Services Group,
Respondent Lawyers(s): Lisa M. Lamm Bachman
Arbitrator(s): Phyllis Karasov, Paul J. Hennen, Frank Abramson
Hearing Site: Minneapolis, MN
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| 20-00900 | 12/14/2020 | Claimant(s): James Neuenschwander
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): IFG Network Securities.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
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| 20-01141 | 12/11/2020 | Claimant(s): Steven Hooyman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Baker Tilly Capital
Respondent Lawyers(s): Matthew C. Boba
Arbitrator(s): Leon Fox
Hearing Site: Milwaukee, WI
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| 20-01217 | 12/11/2020 | Claimant(s): FEDERICO LOPEZ JUARBE
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
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| 20-01574 | 12/11/2020 | Claimant(s): Sheldon Harber
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Tracy L. Allen
Hearing Site: St. Louis, MO
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| 20-01589 | 12/11/2020 | Claimant(s): Lorena Moudi
Claimant Lawyers(s): Robert L Gonser
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
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| 20-02528 | 12/11/2020 | Claimant(s): Manohar Khatri
Claimant Lawyers(s): Dana Gloor
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda Wright
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Milwaukee, WI
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| 20-00040 | 12/10/2020 | Claimant(s): Kenneth Arellano
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Thomas E. Webb
Hearing Site: Buffalo, NY
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| 20-00381 | 12/10/2020 | Claimant(s): Steven Lopez
Claimant Lawyers(s): James Eccleston
Respondent(s): Ameriprise Advisor Services., Ameriprise Financial Services, Olde Discount Corporation
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Frank Samuelsohn, Kenneth N. Adamson, Raymond P. Buschmann
Hearing Site: Chicago, IL
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| 20-00929 | 12/10/2020 | Claimant(s): Richard Towey
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): PFS Investments Inc.
Respondent Lawyers(s): Adam M. Weaver
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
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