| 18-04317 | 11/08/2019 | Claimant(s): Tomas Velken
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Sigma Financial Corporation
Respondent Lawyers(s): Randolph F. Pistor
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
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| 18-04344 | 11/08/2019 | Claimant(s): Cynthia Couyoumjian
Claimant Lawyers(s): Harris Freedman
Respondent(s): Independent Financial Group., The Equitable Life Assurance Society Of
Respondent Lawyers(s): Sarah J. Kreisman, Timothy A. Hanna
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
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| 17-01775 | 11/07/2019 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Carole G. Miller
Respondent(s): James Moore
Respondent Lawyers(s): Elizabeth Zeck
Arbitrator(s): Kenneth J. Daras, Stephen P. Hoffman, Richard Leo King
Hearing Site: Columbia, SC
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| 18-01938 | 11/07/2019 | Claimant(s): Samco Capital Markets.
Claimant Lawyers(s): Jason M. Hopkins
Respondent(s): Apex Clearing Corporation
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Harry J Saginaw, Richard Frederick Schaufert, Oddur Sigurdsson
Hearing Site: Dallas, TX
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| 18-04369 | 11/07/2019 | Claimant(s): Robert Disman
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Las Vegas, NV
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| 19-00868 | 11/07/2019 | Claimant(s): Daniel Wolff
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Securities America.
Respondent Lawyers(s): Tyler Schubauer
Arbitrator(s): Nicholas John Taldone
Hearing Site: Tampa, FL
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| 19-00869 | 11/06/2019 | Claimant(s): Marc Wolff
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Moors & Cabot.
Respondent Lawyers(s): David L. Ward
Arbitrator(s): James Mathieu
Hearing Site: Tampa, FL
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| 19-01230 | 11/06/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Elizabeth H. Lindh
Respondent(s): John Agostino
Respondent Lawyers(s): John Shannon Agostino
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
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| 19-01708 | 11/06/2019 | Claimant(s): AXA Advisors, AXA Network
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Carolyn Neale
Respondent Lawyers(s): Carolyn Joan Neale
Arbitrator(s): John P. Cullem
Hearing Site: Orlando, FL
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| 19-02694 | 11/06/2019 | Claimant(s): Richard Cyphers
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew F. Renna
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
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