| 18-04011 | 12/27/2019 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Ailen Cruz
Respondent(s): Gregory Clark
Respondent Lawyers(s): Gregory Dennis Clark
Arbitrator(s): Michael Lau, Will Murphy, Brett Matthew Logan
Hearing Site: Miami, FL
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| 19-00645 | 12/27/2019 | Claimant(s): Gustavo Carvajal
Claimant Lawyers(s): Josef Y. Rosen
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
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| 19-01339 | 12/27/2019 | Claimant(s): Roger Green
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Mony Securities Corporation
Respondent Lawyers(s): Annette K. Ebright
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
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| 19-01463 | 12/27/2019 | Claimant(s): Kevin Collison
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Larry E. Ray
Hearing Site: Washington, DC
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| 19-02732 | 12/27/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S Brodherson
Respondent(s): Michael Carter
Respondent Lawyers(s): Michael Barry Carter
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Washington, DC
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| 19-00448 | 12/26/2019 | Claimant(s): Joon Rhee
Claimant Lawyers(s): Craig Riha
Respondent(s): Continental Broker-Dealer Corp.
Respondent Lawyers(s): Thomas Tiernan
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
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| 19-01112 | 12/26/2019 | Claimant(s): Allen Schreiber
Claimant Lawyers(s): Harris M. Freedman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
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| 19-01495 | 12/26/2019 | Claimant(s): Kimberly Ripoll
Claimant Lawyers(s): Brian E. Bro
Respondent(s): Francis O'Neill, RBC Capital Markets LLC
Respondent Lawyers(s): Lindsay E. Wuller
Arbitrator(s): Daniel J. Pagnano, Allan R. Lazor, Richard Roger Brewer
Hearing Site: Houston, TX
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| 18-03644 | 12/24/2019 | Claimant(s): Pruco Securities., Prudential Insurance Company Of America
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Michael Witsman
Respondent Lawyers(s): Jerry M. Santangelo
Arbitrator(s): Andrew Brehm, Philip J. Glick, Dianne Marie Onichimowski
Hearing Site: Chicago, IL
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| 19-01494 | 12/24/2019 | Claimant(s): Tyler Harrelson
Claimant Lawyers(s): Matthew Wolper
Respondent(s): Sagepoint Financial., Cetera Advisors LLC
Respondent Lawyers(s): Benjamin J. Biard, Gregory Curley
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
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