| 18-03001 | 04/17/2019 | 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): Isabel Torres-Sastre
Arbitrator(s): Seth L. Finkel
Hearing Site: San Juan, PR
| | $0 |
| 17-00801 | 04/16/2019 | Claimant(s): FSC Securities Corporation
Claimant Lawyers(s): Bradley Fishman
Respondent(s): Jordan Berlin
Respondent Lawyers(s): Christopher D. Warren
Arbitrator(s): Anna Lascar, Steven Gary Leventhal, Harvey E. Benjamin
Hearing Site: New York, NY
| | $0 |
| 18-02456 | 04/16/2019 | Claimant(s): Matt Ward
Claimant Lawyers(s): Kurt T. Kalberer
Respondent(s): Euro Pacific Capital., Maxwell Capital.
Respondent Lawyers(s): Annette Calveri, Robert H. Decker
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
| | $0 |
| 18-03775 | 04/16/2019 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay E. Wuller
Respondent(s): Duncan Sandlin
Respondent Lawyers(s): Duncan Tyrel Sandlin
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Portland, OR
| | $0 |
| 17-00611 | 04/15/2019 | Claimant(s): Neal Carlson
Claimant Lawyers(s): Leonard J. Meyer
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): David J. Clark
Arbitrator(s): Brian James Tagtmeier, Gary Jason Fischman, R. Michelle Boldon
Hearing Site: Houston, TX
| | $0 |
| 18-00989 | 04/15/2019 | Claimant(s): Richard Allison
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | $0 |
| 18-01254 | 04/15/2019 | Claimant(s): Lori Welborn
Claimant Lawyers(s): Stuart M. Reynolds
Respondent(s): BBVA Securities Inc.
Respondent Lawyers(s): Lee Johnsey
Arbitrator(s): Patricia Beaujean Lehtola
Hearing Site: Dallas, TX
| | $0 |
| 18-03173 | 04/15/2019 | Claimant(s): Justin Bonavitacola
Claimant Lawyers(s): Stefan R. Dandelles
Respondent(s): Lincoln Financial Distributors.
Respondent Lawyers(s): Kyle B. Osting
Arbitrator(s): John F. Burns
Hearing Site: Pittsburgh, PA
| | $0 |
| 17-01711 | 04/12/2019 | Claimant(s): Laidlaw & Company (UK) Ltd.
Claimant Lawyers(s): Ross Carmel
Respondent(s): John Marinaccio, Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John E. Lawlor, John Michael Marinaccio
Arbitrator(s): Mark S. Segal, Paul M. Friedman, Dani Schwartz
Hearing Site: New York, NY
| | $0 |
| 17-02632 | 04/12/2019 | Claimant(s): Morgan Stanley, Morgan Stanley SB FA Notes Holdings LLC
Claimant Lawyers(s): Roxanne Fixsen
Respondent(s): Hanh Williams
Respondent Lawyers(s): Hanh Thai Williams
Arbitrator(s): C. Sumpter Logan, Robert E. Witt, Kenneth Haben
Hearing Site: Dallas, TX
| | $0 |
