| 19-00487 | 11/20/2019 | Claimant(s): William Kapteyn
Claimant Lawyers(s): Frances Menzer
Respondent(s): Royal Securities Company
Respondent Lawyers(s): Tony Ernzer
Arbitrator(s): Terrance J. Dorcy
Hearing Site: Detroit, MI
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| 19-01256 | 11/20/2019 | Claimant(s): Daniel Kress
Claimant Lawyers(s): Alexander K. Cox
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Robert E. Anderson
Hearing Site: Pittsburgh, PA
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| 19-01316 | 11/20/2019 | Claimant(s): Michael Murphy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Commerce One Financial Inc.
Respondent Lawyers(s): Thomas J. Jennings
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
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| 19-01784 | 11/20/2019 | Claimant(s): Casto Coll Del Rio
Claimant Lawyers(s): Linette Figueroa Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sonia M. Lopez del Valle
Arbitrator(s): Nancy J. Cliff
Hearing Site: San Juan, PR
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| 19-00495 | 11/19/2019 | Claimant(s): Stephen Martin
Claimant Lawyers(s): Matt Wolper
Respondent(s): LPL Financial LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms, Jon D. Kaplon
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
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| 19-00882 | 11/19/2019 | Claimant(s): G. Diddel
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Parkland Securities
Respondent Lawyers(s): Randolph F. Pistor
Arbitrator(s): Albert Rizzo
Hearing Site: New York, NY
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| 19-00964 | 11/19/2019 | Claimant(s): Lee Tockman
Claimant Lawyers(s): Gordana Schifanelli
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jennifer G. Chawla
Arbitrator(s): Julian F. Santos, Sandralin J. Kiss, Lisa Diane Love
Hearing Site: Newark, NJ
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| 19-01238 | 11/19/2019 | Claimant(s): Scott Hilton
Claimant Lawyers(s): Joseph A. Vallo
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia S. Cowart
Arbitrator(s): Maurice M. Feller, Adam Murray Walters, Niels Patrick Murphy
Hearing Site: Jacksonville, FL
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| 19-01689 | 11/19/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Ryan Ashton
Respondent Lawyers(s): Ryan Manning Ashton
Arbitrator(s): Evan A. Gould
Hearing Site: San Diego, CA
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| 18-00564 | 11/18/2019 | Claimant(s): Interactive Financial Advisors.
Claimant Lawyers(s): James L. Kopecky
Respondent(s): GWN Securities Inc.
Respondent Lawyers(s): Kathy Klock
Arbitrator(s): Theodore W. Wrobleski, Arne R. Rode, John Michael O'Toole
Hearing Site: Chicago, IL
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