| 18-03915 | 08/13/2019 | Claimant(s): Stuart Tsujimoto
Claimant Lawyers(s): Nathan Lamb
Respondent(s): Cetera Advisor Networks Llc
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Alan M. Rosen
Hearing Site: Los Angeles, CA
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| 18-04321 | 08/13/2019 | Claimant(s): Eric Veve
Claimant Lawyers(s): Michael Bessette
Respondent(s): American Portfolios Financial Services,
Respondent Lawyers(s): Frank A. Tauches
Arbitrator(s): William F. Skewes
Hearing Site: Denver, CO
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| 18-04377 | 08/13/2019 | Claimant(s): John Venable
Claimant Lawyers(s): Michael Bessette
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
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| 19-00791 | 08/13/2019 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): James Shea
Respondent Lawyers(s): Paul V. Fernicola
Arbitrator(s): Sam Antar
Hearing Site: Newark, NJ
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| 19-00362 | 08/12/2019 | Claimant(s): Securities America.
Claimant Lawyers(s): Tyler J. Schubauer
Respondent(s): Rodrick Dow
Respondent Lawyers(s): Rodrick Wayne Dow
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
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| 17-00467 | 08/09/2019 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): Michael Jeppson, Raymond James Financial Services.
Respondent Lawyers(s): David Harrison, Devin A. Donohue
Arbitrator(s): Jeffrey E. Skogsbergh, Richard Maurice Robinson, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
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| 18-01427 | 08/09/2019 | Claimant(s): John Quinn
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Trevor J. Hardy
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
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| 18-03094 | 08/09/2019 | Claimant(s): Alan Green, David Robert, Jonathan Staiman, Vincent Miller, William Miller
Claimant Lawyers(s): Michael A. Balascio
Respondent(s): Bertram Riley, Petersen Investments.
Respondent Lawyers(s): Louis D. Tambaro
Arbitrator(s): Susan C. Lushing, Cheryl H. Agris, Stephen J. Patti
Hearing Site: New York, NY
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| 18-03840 | 08/09/2019 | Claimant(s): Colin Hawkes, Stacy Oster
Claimant Lawyers(s): Valerie I. Holder
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew F. Renna
Arbitrator(s): Sterling N. Frost
Hearing Site: Seattle, WA
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| 19-00056 | 08/09/2019 | Claimant(s): Andrew Harding
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
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