| 18-01739 | 09/27/2019 | Claimant(s): Timothy Tremblay
Claimant Lawyers(s): Tyson W. Kovash
Respondent(s): Prudential Equity Group, Centaurus Financial., Voya Financial Advisors.
Respondent Lawyers(s): Alan S. Brodherson, Christina Vourakis, Michael West
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
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| 18-02600 | 09/27/2019 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Bryce Shelman
Respondent(s): Steven Thrush
Respondent Lawyers(s): Steven James Thrush
Arbitrator(s): Richard Marc Weinroth, Barbara Carolyn Klabacha, James St. Pierre Christian
Hearing Site: Phoenix, AZ
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| 19-00107 | 09/27/2019 | Claimant(s): Gilberto Briseno
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Mark C Watler
Hearing Site: New Orleans, LA
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| 18-04392 | 09/26/2019 | Claimant(s): Bryan Weber
Claimant Lawyers(s): Harris Freedman
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Bethmarie Bohn
Arbitrator(s): Barry Goldman
Hearing Site: Cleveland, OH
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| 19-00452 | 09/26/2019 | Claimant(s): Mark Schlipman
Claimant Lawyers(s): Matt Wolper
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Robert J. Scafuri
Hearing Site: St. Louis, MO
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| 18-02168 | 09/25/2019 | Claimant(s): Kestra Investment Services
Claimant Lawyers(s): Richard A. D'Amura
Respondent(s): Donald Padilla
Respondent Lawyers(s): Donald George Padilla
Arbitrator(s): George Herman Frisch
Hearing Site: Los Angeles, CA
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| 19-01062 | 09/25/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Lauren R. Whetstone
Respondent(s): Nicholas Giambri
Respondent Lawyers(s): Nicholas Anthony Giambri
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
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| 19-00063 | 09/24/2019 | Claimant(s): Nancy Biddle
Claimant Lawyers(s): Harris Freedman
Respondent(s): Locust Street Securities.
Respondent Lawyers(s): Benjamin Biard
Arbitrator(s): Darryl C. Wilson
Hearing Site: Tampa, FL
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| 19-00378 | 09/24/2019 | Claimant(s): David Rojas
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): Elena G. Rodriguez
Hearing Site: San Juan, PR
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| 19-00117 | 09/23/2019 | Claimant(s): Craig Moore
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s):
Hearing Site: Manchester, NH
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