| 18-02993 | 01/31/2020 | Claimant(s): Flonnoya Franklin
Claimant Lawyers(s): Fred M. Bean
Respondent(s): Blaine Miller, Samuel Capasso, Proequities.
Respondent Lawyers(s): Warren B. Lightfoot
Arbitrator(s): Ellen Holland Keller, Michael L. Fortney, Barbara E. Machin
Hearing Site: Cleveland, OH
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| 19-00334 | 01/31/2020 | Claimant(s): Edward Mathews
Claimant Lawyers(s): John A. Mangones
Respondent(s): GWFS Equities.
Respondent Lawyers(s): Michael R. Greco
Arbitrator(s): Peter J. Dale, Gerard S. Marsan, Robert N. Jones
Hearing Site: Boston, MA
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| 18-04034 | 01/30/2020 | Claimant(s): Francois-Xavier Rouffiac
Claimant Lawyers(s): Jonathan Sack
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Sandra J. Mullings, Geoffrey M. Elkind, Peter E. Gillespie
Hearing Site: New York, NY
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| 19-01429 | 01/30/2020 | Claimant(s): Roberto Rivera Vazquez
Claimant Lawyers(s): Gara Seagraves
Respondent(s): Popular Securities.
Respondent Lawyers(s): Maria T. Alvarez-Santos
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 19-01458 | 01/30/2020 | Claimant(s): David Choi
Claimant Lawyers(s): Harris Freeman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D, Kaplon
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
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| 19-02436 | 01/30/2020 | Claimant(s): Christopher Roman
Claimant Lawyers(s): Kathy M. Klock
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
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| 19-00438 | 01/29/2020 | Claimant(s): Elizabeth Foley, Erik Brenner
Claimant Lawyers(s): Thomas M. Campbell
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): John T. Sullivan
Arbitrator(s): Patrick R. Sughroue, Ann Wilhelmina Kuppe, Sandra Franklin
Hearing Site: Detroit, MI
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| 19-01756 | 01/29/2020 | Claimant(s): Steven Goldberg
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Vidya A. Mirmira
Arbitrator(s): Steven Irving Platt
Hearing Site: Baltimore, MD
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| 19-02320 | 01/29/2020 | Claimant(s): Angel Canabal
Claimant Lawyers(s): Linette Figueroa Torres
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sonia M. Lopez del Valle
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 19-00059 | 01/28/2020 | Claimant(s): Edwin Jolly
Claimant Lawyers(s): David L. Griffith
Respondent(s): Jeff LaFave, Joan Tucker-White, Voya Financial Advisors.
Respondent Lawyers(s): Andrew D. O'Toole, Joseph M. Porto
Arbitrator(s): Peter E. Gillespie, Dean Alan Schachter, David Adams Reif
Hearing Site: Hartford, CT
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