| 19-00262 | 07/11/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Roy Cederfranco
Respondent Lawyers(s): Roy CederFranco
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
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| 19-00399 | 07/11/2019 | Claimant(s): Lawrence King
Claimant Lawyers(s): Mark T Walsh
Respondent(s): Purshe Kaplan Sterling Investments
Respondent Lawyers(s): David M. Purcell
Arbitrator(s): David R. Foley
Hearing Site: Albany, NY
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| 19-00211 | 07/10/2019 | Claimant(s): Ronald Bare
Claimant Lawyers(s): Elaine Rice
Respondent(s): Securities America.
Respondent Lawyers(s): Tyler Schubauer
Arbitrator(s): Louis H. Miron, John Michael Derderian, Ellen F. Kandell
Hearing Site: Wilmington, DE
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| 12-02261 | 07/09/2019 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): John G. McDonald
Respondent(s): Adrienne Seybert
Respondent Lawyers(s): Adrienne Lee Seybert
Arbitrator(s): Richard D. Fincher
Hearing Site: Phoenix, AZ
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| 18-00816 | 07/09/2019 | Claimant(s): James McCrory
Claimant Lawyers(s): John H. West
Respondent(s): RBC Capital Markets LLC, Thomas McCrory
Respondent Lawyers(s): Justin E. Condit
Arbitrator(s): Steven Irving Platt, Jonathan David Rogers, Andrew Eliot Finkel
Hearing Site: Baltimore, MD
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| 18-02860 | 07/09/2019 | Claimant(s): Franklyn Clarke
Claimant Lawyers(s): Robert W. Pearce
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
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| 19-00090 | 07/09/2019 | Claimant(s): Wilson Garnett
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Martin M. Van Luven
Hearing Site: Tampa, FL
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| 17-01654 | 07/08/2019 | Claimant(s): Maria DeGennaro
Claimant Lawyers(s): Kristen N. Sinnott
Respondent(s): Brian Vail
Respondent Lawyers(s): Steven E. Losquadro
Arbitrator(s): Ellyn S. Roth, Mariane A. Liebowitz, John D. Nagy
Hearing Site: New York, NY
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| 18-01851 | 07/08/2019 | Claimant(s): James Springer
Claimant Lawyers(s): Craig Stein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Richard J. Fuller, Sharon Lee Chernin, James Mathieu
Hearing Site: Tampa, FL
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| 18-04242 | 07/08/2019 | Claimant(s): Thomas Walker
Claimant Lawyers(s): Matthew Wolper
Respondent(s): Edward Jones
Respondent Lawyers(s): Paul A. Yarns
Arbitrator(s): Philip Aaron Tymon
Hearing Site: Portland, OR
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