| 18-04140 | 06/18/2020 | Claimant(s): Lewis Lester, CU Capital Market Solutions
Claimant Lawyers(s): Steven Lawrence Polk
Respondent(s): Jeremy Colvin, Olden Lane Securities
Respondent Lawyers(s): John D. Coyle
Arbitrator(s): Robert H. Putnam, Alan C. Granath, Brian Francis Pocock
Hearing Site: Atlanta, GA
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| 19-02021 | 06/18/2020 | Claimant(s): Kevin Fox
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Capital Financial Services.
Respondent Lawyers(s): Gordon Dihle
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Wilmington, DE
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| 20-00667 | 06/18/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Scott Whittemore
Respondent Lawyers(s): Scott Robert Whittemore
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
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| 20-01079 | 06/18/2020 | Claimant(s): John Wilfong
Claimant Lawyers(s): David I. Hantman
Respondent(s): Morgan Keegan & Company
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Harvey R. Linder
Hearing Site: Memphis, TN
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| 19-02413 | 06/17/2020 | Claimant(s): Rinico Sawyer
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Domenic C. Cervoni
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
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| 19-03045 | 06/17/2020 | Claimant(s): Evan Taub
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): John Thomas Financial
Respondent Lawyers(s): Maria Cummings
Arbitrator(s): William E. Nuckel
Hearing Site: New York, NY
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| 19-03368 | 06/17/2020 | Claimant(s): Craig Nelson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): James Noblett
Arbitrator(s): Mary Margaret Bush
Hearing Site: Salt Lake City, UT
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| 20-00245 | 06/17/2020 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Laurie A Perez
Respondent(s): Alex Herrera
Respondent Lawyers(s): Alex Gerardo Herrera
Arbitrator(s): Linda M. Foster-Wells
Hearing Site: Boca Raton, FL
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| 19-01358 | 06/16/2020 | Claimant(s): Ferdinand Ruplin
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): AXA Advisors, The Equitable Life Assurance Society Of
Respondent Lawyers(s): Annette K. Ebright
Arbitrator(s): Sam Antar
Hearing Site: New York, NY
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| 19-03247 | 06/16/2020 | Claimant(s): Michele Kief
Claimant Lawyers(s): Nisha S. Wright
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Will Murphy, Sandra J. Bakalus, Mark A Bilawsky
Hearing Site: Boca Raton, FL
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