| 20-00465 | 10/13/2020 | Claimant(s): Frankie Brin
Claimant Lawyers(s): Harris Freedman
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Gerald Thomas Harper
Hearing Site: Orlando, FL
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| 20-00482 | 10/12/2020 | Claimant(s): Robert Warther
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Kevin R. Zehe
Hearing Site: Cleveland, OH
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| 20-01127 | 10/12/2020 | Claimant(s): Dustin Elliott
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): G. Maynard Green
Hearing Site: Houston, TX
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| 20-00627 | 10/09/2020 | Claimant(s): Daniel Chang, Steve Kim
Claimant Lawyers(s): Adam C. Pollet
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Alicia L. Dragoo
Arbitrator(s): Gary William England, Mary Margaret Bush, Shawn Ridgell
Hearing Site: San Francisco, CA
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| 20-01003 | 10/09/2020 | Claimant(s): Rodger Shay
Claimant Lawyers(s): Harris Freedman
Respondent(s): Austin Atlantic Capital Inc.
Respondent Lawyers(s): Kevin A. Rowe
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
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| 18-03215 | 10/08/2020 | Claimant(s): Susan Packard
Claimant Lawyers(s): Russell D. Duncan
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rothenstein
Arbitrator(s): Kathryn Ellen McDonnell, Shelley Simons Korch, Bruce Michael Bettigole
Hearing Site: Washington, DC
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| 19-03547 | 10/08/2020 | Claimant(s): Anthony Becker
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Great American Advisors., Lincoln Investment
Respondent Lawyers(s): Jessica Levine, Peter J. Nerone
Arbitrator(s): Daniel Adam Schlein, Joanne Basso Mack, Steven C. Kasarda
Hearing Site: New York, NY
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| 19-03712 | 10/08/2020 | Claimant(s): Roger Green
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): IFG Network Securities.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
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| 20-00233 | 10/08/2020 | Claimant(s): Xiaofeng Hu
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
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| 19-03113 | 10/07/2020 | Claimant(s): Matthew Yonally
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
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