| 20-00811 | 11/09/2020 | Claimant(s): Frank Bain, Mark Bain
Claimant Lawyers(s): Matt Wolper
Respondent(s): Veravest Investments., Voya Financial Advisors.
Respondent Lawyers(s): Christina Vourakis, Mark H. Stepakoff
Arbitrator(s): David William Hickman
Hearing Site: Portland, OR
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| 20-01005 | 11/09/2020 | Claimant(s): Brad Lawing
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): C. Sumpter Logan
Hearing Site: Kansas City, MO
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| 20-01105 | 11/09/2020 | Claimant(s): Steven Adams
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Merton E. Marks
Hearing Site: Salt Lake City, UT
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| 20-01925 | 11/09/2020 | Claimant(s): Paul Stevens
Claimant Lawyers(s): Omar Perez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
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| 20-02169 | 11/09/2020 | Claimant(s): Vonna Husby
Claimant Lawyers(s): Christopher D. Warren
Respondent(s): Ameriprise Financial Services, Raymond James Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier, Kevin M. Cuddy
Arbitrator(s): Dean J. Dietrich
Hearing Site: Anchorage, AK
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| 20-00010 | 11/06/2020 | Claimant(s): Roberto Trejo
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Client One Securities LLC
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
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| 20-00612 | 11/06/2020 | Claimant(s): Adam Rorrer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
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| 20-00820 | 11/06/2020 | Claimant(s): Edward Fernandez
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Pacific Cornerstone Capital Incorporated
Respondent Lawyers(s): Registered Agent
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
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| 20-00830 | 11/06/2020 | Claimant(s): MANUEL ROSE
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
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| 20-00868 | 11/06/2020 | Claimant(s): Steven Ferretti
Claimant Lawyers(s): Brian Luther
Respondent(s): Morgan Stanley DW Inc., AIG Capital Services.
Respondent Lawyers(s): Jeremy S. Winer, Michael S. Cargnel
Arbitrator(s): Steven M. Bialick
Hearing Site: Minneapolis, MN
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