| 19-03473 | 03/30/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Thomas Lewis
Respondent(s): Kevin Carroll
Respondent Lawyers(s): Kevin Joseph Carroll
Arbitrator(s): Jim Geiger
Hearing Site: Hartford, CT
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| 18-02622 | 03/27/2020 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael F Braun
Respondent(s): Anthony Steffan, Pete Henderson
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Martin M. Berliner, Paul E. Dahlman, John H. Fearnow
Hearing Site: Albuquerque, NM
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| 19-02060 | 03/27/2020 | Claimant(s): Joseph Guarneri
Claimant Lawyers(s): Patrick R Mahoney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
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| 19-02262 | 03/27/2020 | Claimant(s): Shaun Blakeslee
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): PNC Investments
Respondent Lawyers(s): Frederic L. Lieberman
Arbitrator(s): Jane Tam
Hearing Site: Baltimore, MD
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| 19-02682 | 03/27/2020 | Claimant(s): William O'Connell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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| 19-02709 | 03/27/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Joshua Norton
Respondent(s): Xiangyu Zhang
Respondent Lawyers(s): Franklin Tzeng
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
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| 19-02715 | 03/27/2020 | Claimant(s): Paul Kuhn
Claimant Lawyers(s): Paul D Kuhn
Respondent(s): Jimmy Epley
Respondent Lawyers(s): Ryan D. Harvey
Arbitrator(s): Jeffrey L. Malek
Hearing Site: Las Vegas, NV
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| 19-03436 | 03/27/2020 | Claimant(s): NewBridge Securities Corp.
Claimant Lawyers(s): Gregg J. Breitbart
Respondent(s): Dennis Hayes
Respondent Lawyers(s): Dennis Allen Hayes
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
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| 16-00688 | 03/26/2020 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kevin J. Woods
Respondent(s): Ghalib Kanji
Respondent Lawyers(s): Joseph M. Lovretovich
Arbitrator(s): W. Alex King, Kendall C. Reed, Mark T Risner
Hearing Site: Los Angeles, CA
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| 19-00422 | 03/26/2020 | Claimant(s): Solomon Campbell
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): James Row, Entoro Securities, Entoro Capital
Respondent Lawyers(s): Babak Yousefzadeh
Arbitrator(s): Mark A. Karpe, Milton N. Gross, George Herman Frisch
Hearing Site: Los Angeles, CA
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