| 18-04092 | 11/05/2019 | Claimant(s): Marc Menton
Claimant Lawyers(s): Alan Baskin
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Jay Lawrence Witkin, Michael Kelley, LeRoy Melvin Gilbertson
Hearing Site: Phoenix, AZ
| | |
| 19-00012 | 11/05/2019 | Claimant(s): Wallace Freemon
Claimant Lawyers(s): Benjamin D. Ridings
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Robert H. Putnam, Fred Kelner, Joseph A Newcomb
Hearing Site: Raleigh, NC
| | |
| 19-00020 | 11/05/2019 | Claimant(s): Don D'Adesky
Claimant Lawyers(s): Lindsay Nasshorn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | |
| 19-00215 | 11/05/2019 | Claimant(s): Kenneth Ancell
Claimant Lawyers(s): Harris M. Freedman
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter Wheeler
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 19-01130 | 11/05/2019 | Claimant(s): Kyle Skinner
Claimant Lawyers(s): William W. Uchimoto
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Thomas G. Nicholson
Arbitrator(s): Tina E. Patterson
Hearing Site: Wilmington, DE
| | |
| 19-01330 | 11/05/2019 | Claimant(s): Michael Murphy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | |
| 18-03461 | 11/04/2019 | Claimant(s): Jeffrey Rathmanner
Claimant Lawyers(s): Brooke D. Anthony
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Thomas J. Gmeinder, Michael Herring, Lindsay Keller
Hearing Site: Minneapolis, MN
| | |
| 18-04132 | 11/04/2019 | Claimant(s): Mark Law
Claimant Lawyers(s): Jack J. Mazzara
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Brian P. Harlan
Arbitrator(s): Stephen D Kursman
Hearing Site: Detroit, MI
| | |
| 19-00472 | 11/04/2019 | Claimant(s): Eric Vogen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Lindsay E. Wuller
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Columbia, SC
| | |
| 19-01228 | 11/04/2019 | Claimant(s): Peter Tedstrom
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
