| 19-00169 | 01/08/2020 | Claimant(s): James Zahakos
Claimant Lawyers(s): Michael Bessette
Respondent(s): Edward Jones
Respondent Lawyers(s): Paul A. Yarns
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
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| 17-02799 | 01/07/2020 | Claimant(s): Daniel Motherway
Claimant Lawyers(s): Daniel P. Motherway
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony Borrelli
Arbitrator(s): Charles A. Crocco, Robert E. Anderson, Stephen L. Lister
Hearing Site: Newark, NJ
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| 19-01145 | 01/07/2020 | Claimant(s): George Mathis
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): John P. Cullem, Gregory L. Hess, Lewis Gordon Brewer
Hearing Site: Orlando, FL
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| 15-03341 | 01/06/2020 | Claimant(s): Frank Eder
Claimant Lawyers(s): Rogge Dunn
Respondent(s): Neuberger Berman Management LLC, Neuberger Berman Fixed Income, Neuberger Berman Group, Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Theodore W. Wrobleski, P J Boylan, Susan L. Walker
Hearing Site: Chicago, IL
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| 17-00688 | 01/06/2020 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): William Hood
Respondent Lawyers(s): Kevin S. Reed
Arbitrator(s): Kenneth Diamond, Anna M. Fanelli, Robert E. Anderson
Hearing Site: New York, NY
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| 18-02246 | 01/06/2020 | Claimant(s): Kevin Yang
Claimant Lawyers(s): David E. Robbins
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Scarlett L. Freeman
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
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| 19-00574 | 01/06/2020 | Claimant(s): David Mehler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Raleigh, NC
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| 19-01704 | 01/06/2020 | Claimant(s): Shi Zhou
Claimant Lawyers(s): David E. Robbins
Respondent(s): Wilmington Capital Securities
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Michael S. Lazan
Hearing Site: New York, NY
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| 18-02815 | 01/03/2020 | Claimant(s): Brian Mckenna
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): OTR Global Trading LLC
Respondent Lawyers(s): Daniel D. Barnes
Arbitrator(s): Peter A. Seibel, Brian John Gallagher, Jerome Francis Cangialosi
Hearing Site: New York, NY
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| 18-03812 | 01/03/2020 | Claimant(s): NEXT Financial Group.
Claimant Lawyers(s): Todd Ratner
Respondent(s): Erryn Barkett
Respondent Lawyers(s): James C. Cosby
Arbitrator(s): Nancy E. Watters
Hearing Site: Richmond, VA
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