| 19-02190 | 03/18/2020 | Claimant(s): Christopher Holder
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Melissa Tarentino
Arbitrator(s): Frances Johnson Wright
Hearing Site: Birmingham, AL
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| 19-03204 | 03/18/2020 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey Compton
Respondent(s): Christopher Canorro
Respondent Lawyers(s): Christopher Paul Canorro
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
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| 17-01229 | 03/17/2020 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Jonathan Moneypenny
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Howard L. Sobel, Kevin B. Naughten, Eric Zaidins
Hearing Site: New York, NY
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| 19-01556 | 03/17/2020 | Claimant(s): Daniella Rand
Claimant Lawyers(s): Harris Freedman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeffrey S. Jacobi
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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| 19-02031 | 03/17/2020 | Claimant(s): Kurt Zipp
Claimant Lawyers(s): Kurt W. Zipp
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Lindsay E. Wuller
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Milwaukee, WI
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| 19-02251 | 03/17/2020 | Claimant(s): Keith DeGreen
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Kenneth Layne Morrill, Renee Bryna Gerstman, James M Garber
Hearing Site: Phoenix, AZ
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| 19-02697 | 03/17/2020 | Claimant(s): Aaron Gore, David Monckton, Ronald Metcalf, Samuel Head
Claimant Lawyers(s): Bryce Benson
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Richard S. Zaifert, Harvey R. Linder, Brian Stafford
Hearing Site: Columbia, SC
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| 19-02740 | 03/17/2020 | Claimant(s): Don Rudolph
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, UVEST Financial Services Group.
Respondent Lawyers(s): Corporate Officer, Sara B. Davis
Arbitrator(s): Harvey R. Linder
Hearing Site: Raleigh, NC
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| 19-02074 | 03/16/2020 | Claimant(s): Lawrence Eppolito
Claimant Lawyers(s): Matt Wolper
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Denise L. Presley
Hearing Site: Boston, MA
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| 19-02191 | 03/16/2020 | Claimant(s): David Sipe
Claimant Lawyers(s): Frances Menzer
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
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