| 19-00657 | 08/03/2020 | Claimant(s): Lawrence Mickle
Claimant Lawyers(s): Joshua A Katz
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Michael J. Ahlstrom, Christopher Cecil Lamb, Janice Helsley Blach
Hearing Site: Columbia, SC
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| 19-03708 | 07/31/2020 | Claimant(s): Carolyn DiPrinzio
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BI Investments
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
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| 20-00390 | 07/30/2020 | Claimant(s): Gregory Scott
Claimant Lawyers(s): Brian Luther
Respondent(s): Morgan Keegan & Company, Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Maurice M. Feller
Hearing Site: Jacksonville, FL
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| 20-00645 | 07/30/2020 | Claimant(s): Gregory Scott
Claimant Lawyers(s): Brian Luther
Respondent(s): Morgan Keegan & Company, Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Maurice M. Feller
Hearing Site: Jacksonville, FL
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| 19-01592 | 07/29/2020 | Claimant(s): Brian Btesh
Claimant Lawyers(s): Frances Menzer
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): James M. Scutti
Hearing Site: Boca Raton, FL
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| 19-03631 | 07/29/2020 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Tracy L. Gerber
Respondent(s): Jon Sanchez
Respondent Lawyers(s): Jon Gregory Sanchez
Arbitrator(s): Daniel M. Yamshon, Nancy Hutt, Mary H. Evans
Hearing Site: Reno, NV
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| 19-03650 | 07/29/2020 | Claimant(s): Thane Walton
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Mutual Service Corporation
Respondent Lawyers(s): David Freniere
Arbitrator(s): William Michael Samsel
Hearing Site: San Francisco, CA
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| 20-01159 | 07/29/2020 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Patrick J. Bradley
Respondent(s): Roger Graham
Respondent Lawyers(s): Roger Ainsworth Graham
Arbitrator(s): Michael Louis Goldstone
Hearing Site: Houston, TX
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| 19-03695 | 07/28/2020 | Claimant(s): Timothy McGrath
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
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| 19-03478 | 07/27/2020 | Claimant(s): Paul Rutkowski
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Erik R. Siering
Hearing Site: Phoenix, AZ
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