| 17-01439 | 08/27/2019 | Claimant(s): Robert Ryder
Claimant Lawyers(s): Craig R. Weis
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
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| 19-00023 | 08/27/2019 | Claimant(s): Edward Fox
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Susanne J. Hollander
Hearing Site: Milwaukee, WI
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| 19-00469 | 08/27/2019 | Claimant(s): Sonia Pou
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): Stuart K. Furman
Hearing Site: San Juan, PR
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| 18-04379 | 08/26/2019 | Claimant(s): Alexandro Filippini, Iaian Filippini
Claimant Lawyers(s): Michael Bessette
Respondent(s): Eplanning Securities.
Respondent Lawyers(s): Joseph Ehrlich
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
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| 19-00152 | 08/26/2019 | Claimant(s): David Keator
Claimant Lawyers(s): Peter F Flynn
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Martin A. Edelstein
Hearing Site: Albany, NY
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| 19-00319 | 08/26/2019 | Claimant(s): Kevin Engbers
Claimant Lawyers(s): Matthew E. Wolper
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Susan L. Walker
Hearing Site: Omaha, NE
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| 18-03914 | 08/23/2019 | Claimant(s): Clayton Holcomb
Claimant Lawyers(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): David I. Levine
Hearing Site: San Francisco, CA
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| 19-00256 | 08/23/2019 | Claimant(s): Chad Andrews
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Stanton A. Fears
Arbitrator(s): Barry Goldman
Hearing Site: Des Moines, IA
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| 19-00589 | 08/23/2019 | Claimant(s): Xavier Aguayo Diaz
Claimant Lawyers(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Roberto Quinones Rivera
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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| 18-03809 | 08/22/2019 | Claimant(s): Ashley Pagartanis
Claimant Lawyers(s): Ashley Pagartanis
Respondent(s): Lombard Securities Incorporated
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Brenda J. Stovall, Steven Irving Platt, George Thomas Doran
Hearing Site: Baltimore, MD
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