| 20-00356 | 08/20/2020 | Claimant(s): Mark Williams
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
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| 20-00502 | 08/20/2020 | Claimant(s): Joshua Barron
Claimant Lawyers(s): Eric A. Michaels
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
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| 20-00685 | 08/20/2020 | Claimant(s): James Pillow
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Bernard Hornick, Stuart K. Furman, John Winslow Griesser
Hearing Site: Orlando, FL
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| 19-03202 | 08/19/2020 | Claimant(s): Stephen Chao
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Anthony Paduano
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 19-03610 | 08/19/2020 | Claimant(s): Susan Lawrence
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): James E. Bartels
Hearing Site: Seattle, WA
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| 19-03709 | 08/19/2020 | Claimant(s): Steven Johnson
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Eric J. Chartan
Arbitrator(s): Daniel J. Pagnano
Hearing Site: New Orleans, LA
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| 20-00421 | 08/19/2020 | Claimant(s): Katie Buck
Claimant Lawyers(s): Harris Freedman
Respondent(s): H. Beck.
Respondent Lawyers(s): Matt Winterhalter
Arbitrator(s): Arocles Aguilar
Hearing Site: Honolulu, HI
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| 20-01107 | 08/19/2020 | Claimant(s): Albert Carpenter
Claimant Lawyers(s): David I. Hantman
Respondent(s): Morgan Stanley, UBS Financial Services Inc., Citigroup Global Markets.
Respondent Lawyers(s): Amanda B. Protess, Omar Perez, Trae D. Meyr
Arbitrator(s): David A. Schuler
Hearing Site: New Orleans, LA
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| 19-00003 | 08/18/2020 | Claimant(s): Kerry Raheb
Claimant Lawyers(s): Kerry Patrick Raheb
Respondent(s): Tasin & Company., EKN Financial Services Inc., A. R. Baron & Co.., Empire Financial Group., Laidlaw & Company (UK) Ltd., Prestige Financial Center., Spartan Capital Securities
Respondent Lawyers(s): Charles Smulevitz, Diane Alexander, Larry Kirshbaum, Matthew N. Fiorovanti, Salvatore Sapienza, Thomas Michael Giugliano, Tim Moyer
Arbitrator(s): Noel B. Berman
Hearing Site: New York, NY
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| 20-00196 | 08/18/2020 | Claimant(s): Dale Cebert
Claimant Lawyers(s): Harris Freedman
Respondent(s): Securities America.
Respondent Lawyers(s): Tyler Schubauer
Arbitrator(s): Mauricio Arcadier
Hearing Site: Orlando, FL
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