| 18-03613 | 03/27/2019 | Claimant(s): Alfonso Boneta
Claimant Lawyers(s): Linette Figueroa Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Sonia M. Lopez del Valle
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | $0 |
| 18-00961 | 03/26/2019 | Claimant(s): Jerrold Beck
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): GWN Securities Inc.
Respondent Lawyers(s): Kathy M. Klock
Arbitrator(s): Brenda J. Stovall
Hearing Site: Baltimore, MD
| | $0 |
| 18-02399 | 03/26/2019 | Claimant(s): Jahn Gazder
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Michael J. Meeusen
Hearing Site: Cincinnati, OH
| | $0 |
| 18-02999 | 03/26/2019 | Claimant(s): Mark Maller
Claimant Lawyers(s): Jonathan D Kaney
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Steven Gerard Goerke, Barry David Thorpe, Howard L. Conklin
Hearing Site: Boca Raton, FL
| | $0 |
| 18-03361 | 03/26/2019 | Claimant(s): Anthony Gambone
Claimant Lawyers(s): Anthony Michael Gambone
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): John James McGovern
Hearing Site: Wilmington, DE
| | $0 |
| 17-01716 | 03/25/2019 | Claimant(s): Windsor Street Capital
Claimant Lawyers(s): David A. Schrader
Respondent(s): Barry Jin, Brent Porges, Charles Giaimo, David Sheppard, Joseph Valenti, Matthew Deblois, Matthew Siliato, Maxwell Delaney, Michael LaVolpe, William Leonard
Respondent Lawyers(s): Barry Jin, Brent Morgan Porges, Charles Evan Giaimo, David Leonard Sheppard, M. David Sayid, Matthew Angelo Siliato, Matthew Charles Deblois, Maxwell Topper Delaney, Michael Scott LaVolpe, William McCabe Leonard
Arbitrator(s): Ann C. Northern, Sanford S. Stevens, Donald Nevin Gershuny
Hearing Site: New York, NY
| | $0 |
| 18-03073 | 03/25/2019 | Claimant(s): William Ferguson
Claimant Lawyers(s): William Dean Ferguson
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Merton E. Marks
Hearing Site: Phoenix, AZ
| | $0 |
| 18-00719 | 03/22/2019 | Claimant(s): Peter Cunningham
Claimant Lawyers(s): Michelle Atlas
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Elliott D. Finkel
Hearing Site: Los Angeles, CA
| | $0 |
| 18-02162 | 03/22/2019 | Claimant(s): Douglas J. Calnan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons., Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Gerard S. Marsan
Hearing Site: Boston, MA
| | $0 |
| 18-03451 | 03/22/2019 | Claimant(s): Gary Jeweler
Claimant Lawyers(s): John Bender
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Joe Tully
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
| | $0 |
