| 18-03710 | 08/16/2019 | Claimant(s): David James
Claimant Lawyers(s): Michelle Atlas
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Anthony D. DeToro
Hearing Site: Los Angeles, CA
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| 18-04076 | 08/16/2019 | Claimant(s): Alan Augulis
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): APW Capital.
Respondent Lawyers(s): Timothy Liam Smith
Arbitrator(s): Denise L. Quarles
Hearing Site: Newark, NJ
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| 18-04330 | 08/16/2019 | Claimant(s): Roy Strong
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): CFD Investments.
Respondent Lawyers(s): Matthew Bahrenburg
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Indianapolis, IN
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| 18-04434 | 08/16/2019 | Claimant(s): Chad Henry
Claimant Lawyers(s): Bryan M. Ward
Respondent(s): Robert W. Baird & Co. Incorporated, Ameriprise Financial Services., Sigma Financial Corporation
Respondent Lawyers(s): Howard M. Klausmeier, Paul Schultz, Randolph F. Pistor
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
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| 18-04436 | 08/16/2019 | Claimant(s): Stuart Buck
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): C. Evan Stewart
Arbitrator(s): Philip J. Glick
Hearing Site: Chicago, IL
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| 19-00363 | 08/16/2019 | Claimant(s): Kurt Sylvia
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s):
Hearing Site: Boca Raton, FL
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| 19-00764 | 08/16/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Bruce M. Lewitas
Respondent(s): Joseph Smith
Respondent Lawyers(s): Joseph Smith
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
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| 17-01724 | 08/15/2019 | Claimant(s): Charles Lautz, Francisco Malfavon
Claimant Lawyers(s): George Miller
Respondent(s): Snowden Account Services LLC, Snowden Capital Advisors LLC
Respondent Lawyers(s): E. David Krule
Arbitrator(s): George Richard Najjar, Kevin K. Forrester, Gene S. Evenskaas
Hearing Site: San Diego, CA
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| 17-02705 | 08/15/2019 | Claimant(s): Gary Sinderbrand, Mill Lane Management
Claimant Lawyers(s): Jarrod J. Malone
Respondent(s): Wells Fargo Clearing Services, Steven Sinderbrand
Respondent Lawyers(s): Eric Wood, Erin M. Smith
Arbitrator(s): David S. Billet, Thomas J. Stock, John Herbert Grefe
Hearing Site: New York, NY
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| 18-02144 | 08/15/2019 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Timothy L. Moore
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
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