| 19-00894 | 07/12/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Lauren R. Whetstone
Respondent(s): Steven Rodman
Respondent Lawyers(s): Steven Andrew Rodman
Arbitrator(s): Barth Satuloff
Hearing Site: Boca Raton, FL
| | $0 |
| 16-02348 | 07/11/2019 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Charles A. Hammaker
Respondent(s): James Armer
Respondent Lawyers(s): James David Armer
Arbitrator(s): John H. Fearnow
Hearing Site: Albuquerque, NM
| | $0 |
| 18-01308 | 07/11/2019 | Claimant(s): Wilfredo Mendez Morales
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Allstate Financial Services, Llc
Respondent Lawyers(s): Pete Tepley
Arbitrator(s): Larry G. Kjosa, Robert G. Bannon, Dwayne Eddie Hickman
Hearing Site: Orlando, FL
| | $0 |
| 18-03638 | 07/11/2019 | Claimant(s): Melody Juge
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Financial West Group, Corecap Investments.
Respondent Lawyers(s): Gene Valentine, Judith A. Villarreal
Arbitrator(s): Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | $0 |
| 18-04283 | 07/11/2019 | Claimant(s): Mitchell Rubin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equity Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
| | $0 |
| 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
| | $0 |
| 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
| | $0 |
| 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
| | $0 |
| 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
| | $0 |
| 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
| | $0 |
