| 18-02103 | 10/11/2019 | Claimant(s): Lester Hardley
Claimant Lawyers(s): Lester Efrem Hardley
Respondent(s): Nicholas Mingone, Citizens Securities.
Respondent Lawyers(s): Geoffrey W. Millsom
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
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| 18-02348 | 10/11/2019 | Claimant(s): Kestra Financial., Kestra Investment Services
Claimant Lawyers(s): Richard A. D'Amura
Respondent(s): Stephen Seglund
Respondent Lawyers(s): Stephen Paul Seglund
Arbitrator(s): Bert P. Krages
Hearing Site: Portland, OR
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| 18-03660 | 10/11/2019 | 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): Natalie Panossian-Bassler
Hearing Site: Los Angeles, CA
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| 18-04376 | 10/11/2019 | Claimant(s): Mark Richmond
Claimant Lawyers(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
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| 19-00006 | 10/11/2019 | Claimant(s): Khaled Nasseri
Claimant Lawyers(s): Khaled H. Nasseri
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Arthur Neil Tolciss
Hearing Site: New York, NY
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| 19-00288 | 10/11/2019 | Claimant(s): Donald Wojnowski
Claimant Lawyers(s): Harris Freedman
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Stuart K. Furman
Hearing Site: Orlando, FL
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| 19-00518 | 10/11/2019 | Claimant(s): Gal Sherman
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Equity Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
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| 19-00660 | 10/11/2019 | Claimant(s): Bryan Cummings
Claimant Lawyers(s): Irwin Weltz
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Christine M. Fitzgerald
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
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| 19-00678 | 10/11/2019 | Claimant(s): Michael Gimeli
Claimant Lawyers(s): Irwin Weltz
Respondent(s): GunnAllen Financial, First Cambridge Securities Corporation, First Midwest Securities., Investec Ernst & Company
Respondent Lawyers(s): Deborah Ann Williams, Kelly Sutton, Stanley R. Goldstein, Stephen M. Medow
Arbitrator(s): Cheryl H. Agris
Hearing Site: New York, NY
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| 19-00011 | 10/10/2019 | Claimant(s): Garret Morgan
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Securities America.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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