| 20-00903 | 10/19/2020 | Claimant(s): William Sheehan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
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| 16-02887 | 10/16/2020 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Neil S. Baritz
Respondent(s): Nelson Torrens
Respondent Lawyers(s): Nelson Torrens
Arbitrator(s): John D. Mattingly
Hearing Site: Atlanta, GA
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| 20-00592 | 10/16/2020 | Claimant(s): Dominick Dibona
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
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| 20-00927 | 10/16/2020 | Claimant(s): Anita Brennan, Marina Tudela
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): Elena G. Rodriguez
Hearing Site: San Juan, PR
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| 20-00969 | 10/16/2020 | Claimant(s): Michael Hess
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Tracy L. Allen
Hearing Site: Minneapolis, MN
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| 20-01008 | 10/16/2020 | Claimant(s): Sean Kilmartin
Claimant Lawyers(s): Alex H. Kilmartin
Respondent(s): Dickinson & Co.
Respondent Lawyers(s): Nancy Van Hauen
Arbitrator(s): Joyce A. Mitchell
Hearing Site: Charlotte, NC
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| 20-01060 | 10/16/2020 | Claimant(s): Dean Nowak
Claimant Lawyers(s): Harris Freedman
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Preston Spears
Arbitrator(s): Mitchel Weiss
Hearing Site: Orlando, FL
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| 20-00263 | 10/15/2020 | Claimant(s): Cynthia Couyoumjian
Claimant Lawyers(s): Michael Bessette
Respondent(s): Independent Financial Group.
Respondent Lawyers(s): Sarah J. Kreisman
Arbitrator(s): Robert B. Hansohn
Hearing Site: Los Angeles, CA
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| 19-01511 | 10/14/2020 | Claimant(s): Charlotte Chase
Claimant Lawyers(s): John M. Petrisek
Respondent(s): David Smith, Donald Smith, Provident Private Capital Partners.
Respondent Lawyers(s): Eric J. Purchase, G. Clinton Kelley
Arbitrator(s): Robert J. Scafuri, Kenneth Alan Eisner, Peter Vincent Marcoline
Hearing Site: Pittsburgh, PA
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| 20-00428 | 10/14/2020 | Claimant(s): Sylvester Knox
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
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