| 19-00130 | 11/13/2019 | Claimant(s): Joseph Glodek
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation, William Scott & Co. L.L.C.
Respondent Lawyers(s): Fred N. Knopf, Robert C. Hess
Arbitrator(s): Veronica Ann Williams
Hearing Site: Newark, NJ
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| 19-00353 | 11/13/2019 | Claimant(s): Peter Klein
Claimant Lawyers(s): David J. Butler
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Richard W. Cutler, Howard D. Jacob, Emily M. Altman
Hearing Site: New York, NY
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| 19-00730 | 11/13/2019 | Claimant(s): Carlos Pou
Claimant Lawyers(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto C. Quinones-Rivera
Arbitrator(s): Seth L. Finkel
Hearing Site: San Juan, PR
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| 19-01309 | 11/13/2019 | Claimant(s): Regina Bernarduci
Claimant Lawyers(s): Michael Bessette
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Denise L. Presley
Hearing Site: Boston, MA
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| 17-01139 | 11/12/2019 | Claimant(s): Denise Kappel
Claimant Lawyers(s): Jack Samuel Tenenbaum
Respondent(s): Asher Wolmark, William Vellon, Kingsbury Capital Investment AdvisorsLLC, Kingsbury Capital Securities Inc, Kingsbury Capital., Kingsbury
Respondent Lawyers(s): Corporate Office, Nicholas P. Iavarone, William Vellon
Arbitrator(s): Ray J. Grzebielski, Thomas P. Valenti, Courtney Paige Delaney
Hearing Site: Chicago, IL
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| 18-03159 | 11/11/2019 | Claimant(s): Nicole Muir
Claimant Lawyers(s): Andre R. Perron
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Jeffrey J. Kalinowski
Arbitrator(s): Gregory D. Hoffmann, David Schwartzberg, Yuli Kotler
Hearing Site: Tampa, FL
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| 19-00738 | 11/11/2019 | Claimant(s): David Mehler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Charlotte, NC
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| 19-01188 | 11/11/2019 | Claimant(s): Donald Weaver
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
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| 16-00653 | 11/08/2019 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Mark Adams
Respondent Lawyers(s): Mark Adams
Arbitrator(s): Steven S. Manos
Hearing Site: Boston, MA
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| 18-03766 | 11/08/2019 | Claimant(s): John Kline
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): UBS Financial Services Inc., Janney Montgomery Scott LLC
Respondent Lawyers(s): Jill Clarke, Jonathan C. Schwartz
Arbitrator(s): Margaret Elizabeth Gee
Hearing Site: Raleigh, NC
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