| 19-00089 | 07/08/2019 | Claimant(s): Wilson Garnett
Claimant Lawyers(s): Harris Freedman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Brian P. Harlan
Arbitrator(s): Thomas J. Patka
Hearing Site: Tampa, FL
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| 18-03666 | 07/05/2019 | Claimant(s): Ken Morris
Claimant Lawyers(s): Patrick R Mahoney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
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| 18-04105 | 07/05/2019 | Claimant(s): Mary Jo Hayes
Claimant Lawyers(s): Howard Rosenburg
Respondent(s): Chicago Investment Group
Respondent Lawyers(s): Mary Jo Hayes, CCO
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
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| 19-00618 | 07/05/2019 | Claimant(s): Citizens Securities.
Claimant Lawyers(s): Stuart D. Roberts
Respondent(s): Nelson Amparo
Respondent Lawyers(s): Nelson Alejandro Amparo
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Providence, RI
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| 17-03190 | 07/03/2019 | Claimant(s): Sanjay Rajwani
Claimant Lawyers(s): Neal Brickman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Elizabeth Gilbert, Leslie Ruth Nydick, Michael Davies
Hearing Site: New York, NY
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| 18-03152 | 07/03/2019 | Claimant(s): Erinn Ford, Jeffrey Sims
Claimant Lawyers(s): Amir Tadjedin
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Philip A. Pizelo
Arbitrator(s): Paul R. Meyer, David Gonzalez, Margaret Hotopp
Hearing Site: Seattle, WA
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| 18-03154 | 07/03/2019 | Claimant(s): Erinn Ford, Jeffrey Sims
Claimant Lawyers(s): Amir Tadjedin
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Philip A. Pizelo
Arbitrator(s): Katherine Hendricks, Paul A. Maffeo, Ian Stephen Birk
Hearing Site: Seattle, WA
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| 18-04240 | 07/03/2019 | Claimant(s): Gerald Sharpe
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): First Montauk Securities Corp., J.W. Barclay & Co.., Paragon Capital Markets.
Respondent Lawyers(s): Danny Levine, John Bruno, President or Compliance Officer
Arbitrator(s): Denise L. Quarles
Hearing Site: Newark, NJ
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| 18-04266 | 07/03/2019 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay Wuller
Respondent(s): Brian Williams
Respondent Lawyers(s): Brian David Williams
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
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| 18-02320 | 07/02/2019 | Claimant(s): Peter Covino
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, VSR Financial Services., Prospera Financial Services.
Respondent Lawyers(s): Brian Harlan, Jeremy Carr, William M. Schmitt
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Boise, ID
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