| 18-04325 | 09/19/2019 | Claimant(s): Alexandro Filippini, Iaian Filippini
Claimant Lawyers(s): Steve Young
Respondent(s): Eplanning Securities.
Respondent Lawyers(s): Joseph Ehrlich
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
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| 18-04417 | 09/18/2019 | Claimant(s): Mark Kosanke
Claimant Lawyers(s): Harris Freedman
Respondent(s): Professional Asset Management.
Respondent Lawyers(s): Joan E. Flam
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
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| 19-00084 | 09/18/2019 | Claimant(s): Nicholas Economos
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Kenneth Paul Strongman
Hearing Site: San Francisco, CA
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| 19-00286 | 09/18/2019 | Claimant(s): Robert Schwarz
Claimant Lawyers(s): Frances Menzer
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
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| 19-00345 | 09/18/2019 | Claimant(s): Stephanie Abee
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services, Llc, Transamerica Financial Advisors
Respondent Lawyers(s): David J. Lehr, Susan D. Duff
Arbitrator(s): Kenneth R. Starr
Hearing Site: Raleigh, NC
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| 15-03186 | 09/17/2019 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Stephen M Kramarsky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Carl Mills
Arbitrator(s): Leonard M. Bakal, Susan E. Harkins, Margaret Else Nelson
Hearing Site: New York, NY
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| 18-00162 | 09/17/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Joseph Shimko
Respondent Lawyers(s): Christopher Kammerer
Arbitrator(s): Ellen J. Abrams, Thomas W. Allen, William Dennis Ferguson
Hearing Site: Boca Raton, FL
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| 19-00940 | 09/17/2019 | Claimant(s): Andrew Corrigan
Claimant Lawyers(s): Robert Moses
Respondent(s): American Portfolios Financial Services
Respondent Lawyers(s): Frank A. Tauches
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
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| 19-01520 | 09/17/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Steven Silverthorne
Respondent Lawyers(s): Steven M. Silverthorne
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
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| 17-02974 | 09/16/2019 | Claimant(s): Diana Peterson
Claimant Lawyers(s): Michael C. Mahoney
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Marko J. Mrkonich
Arbitrator(s): Roger George Lindquist, Peter N. Thompson, Nell Mathews
Hearing Site: Minneapolis, MN
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