| 18-03544 | 11/26/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Wendell Stewart
Respondent Lawyers(s): P. Jacob Paschal
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
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| 19-00493 | 11/26/2019 | Claimant(s): Robert Burns
Claimant Lawyers(s): Harris Freedman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
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| 19-00538 | 11/26/2019 | Claimant(s): Kent Kuhlmann
Claimant Lawyers(s): Stephan Louviere
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
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| 19-00974 | 11/26/2019 | Claimant(s): Louis Windawi
Claimant Lawyers(s): Chad E Weaver
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
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| 19-01223 | 11/26/2019 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kimberly A. Koves
Respondent(s): Kenneth Klaiman
Respondent Lawyers(s): Kenneth Scott Klaiman
Arbitrator(s): Arthur J. Giacomarra
Hearing Site: Boston, MA
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| 18-02782 | 11/25/2019 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co., UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh, Nicholas Y. Lin
Arbitrator(s): George Herman Frisch
Hearing Site: Los Angeles, CA
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| 18-04357 | 11/25/2019 | Claimant(s): Jeffrey Damasco
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
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| 19-00878 | 11/25/2019 | Claimant(s): Danny Bullock
Claimant Lawyers(s): John M. Verdecchia
Respondent(s): Signator Investors.
Respondent Lawyers(s): Gregory M. Curely
Arbitrator(s): Paul A. Auerbach, Patrick R. Westerkamp, Michael Jonathan Chazan
Hearing Site: Providence, RI
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| 19-01407 | 11/25/2019 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Paul Liebman
Respondent Lawyers(s): Paul Gary Liebman
Arbitrator(s): Arthur M. Handler
Hearing Site: New York, NY
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| 13-00901 | 11/22/2019 | Claimant(s): Yong Kim
Claimant Lawyers(s): Ken Levine
Respondent(s): Eul Choi, Kyung Cho, SH Investment & Securities
Respondent Lawyers(s): Marc A. Oliver, Robert K. Lu
Arbitrator(s): Vincent J. Natoli, Alan M. Rosen, Rosalind Anne Salzman
Hearing Site: Los Angeles, CA
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