| 19-01354 | 12/05/2019 | Claimant(s): Craig Wakefield
Claimant Lawyers(s): Molly M. White
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Kathy R. Holler, Lynne M. Gomez, Mary Esther Escobedo
Hearing Site: Houston, TX
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| 19-01408 | 12/05/2019 | Claimant(s): Joseph Cordi
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Tony Naccarelli
Arbitrator(s): Mary Lou McGanney
Hearing Site: New York, NY
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| 19-01705 | 12/05/2019 | Claimant(s): AXA Advisors, AXA Network
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): David Schrank
Respondent Lawyers(s): David Jay Schrank
Arbitrator(s): Jack Friedman
Hearing Site: Newark, NJ
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| 17-02126 | 12/04/2019 | Claimant(s): Jonathan Lennox
Claimant Lawyers(s): Wilmer D. Masterson
Respondent(s): USAA Financial Advisors.
Respondent Lawyers(s): Michael R. Greco
Arbitrator(s): Robert L. Yeager, Larry Adair, Donna Jean Tyus
Hearing Site: Dallas, TX
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| 19-01225 | 12/04/2019 | Claimant(s): James Worrell
Claimant Lawyers(s): Erica Harris
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): David J. Lehr
Arbitrator(s): Robert E. Anderson
Hearing Site: Providence, RI
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| 19-01332 | 12/04/2019 | Claimant(s): Michael Murphy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Columbus Advisory Group, Ltd.
Respondent Lawyers(s): Michael McNulty
Arbitrator(s): Josian Antoine
Hearing Site: New York, NY
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| 18-04391 | 12/03/2019 | Claimant(s): Bryan Weber
Claimant Lawyers(s): Harris Freedman
Respondent(s): Keybanc Capital Markets Inc.
Respondent Lawyers(s): Daniela Paez
Arbitrator(s): Susan L. Walker
Hearing Site: Cleveland, OH
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| 18-04443 | 12/03/2019 | Claimant(s): Marcos Cigagna
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Wells Fargo Clearing Services, Banc of America Investment Services Inc.
Respondent Lawyers(s): Joel M. Everest, Patricia E. Cowart
Arbitrator(s): Thomas Joseph Atkinson
Hearing Site: Orlando, FL
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| 19-01357 | 12/03/2019 | Claimant(s): Alexander Napoli
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
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| 19-01549 | 12/03/2019 | Claimant(s): Earl Hartley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): James Noblett
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
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