| 18-03977 | 08/15/2019 | Claimant(s): Ting O'Connor
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Pyramid Financial Corp.
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
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| 18-04387 | 08/15/2019 | Claimant(s): Brian Eagon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, Morgan Stanley DW Inc.
Respondent Lawyers(s): Abigail D. Elrod, Elisabeth Kratka
Arbitrator(s): Richard W. Dissen
Hearing Site: Pittsburgh, PA
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| 19-00002 | 08/15/2019 | Claimant(s): Richard Libretti
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
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| 19-00142 | 08/15/2019 | Claimant(s): Sima Alefi
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
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| 19-00384 | 08/15/2019 | 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 Quinones-Rivera
Arbitrator(s): Barth Satuloff
Hearing Site: San Juan, PR
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| 18-03207 | 08/14/2019 | Claimant(s): Drew Freides
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Charles Evan Stewart
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
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| 18-04349 | 08/14/2019 | Claimant(s): Anthony DeGregorio
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): American Portfolios Financial Services,
Respondent Lawyers(s): Frank A. Tauches
Arbitrator(s): Michael Fischetti
Hearing Site: Newark, NJ
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| 18-04390 | 08/14/2019 | Claimant(s): Jeffey Nedley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): PNC Investments
Respondent Lawyers(s): Frederic L. Lieberman
Arbitrator(s): Robert E. Anderson
Hearing Site: Pittsburgh, PA
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| 19-01651 | 08/14/2019 | Claimant(s): Bryan Stebel
Claimant Lawyers(s): Elizabeth A. Lowery
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Jeanette Dennis
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
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| 18-02326 | 08/13/2019 | Claimant(s): Thomas Durney
Claimant Lawyers(s): Blaine Bortnick
Respondent(s): SMBC Nikko Securities America.
Respondent Lawyers(s): Alnisa S. Bell
Arbitrator(s): Jack Friedman, Martin Deignan Dehler, Tina Eskreis Nelson
Hearing Site: New York, NY
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