| 18-02686 | 03/21/2019 | Claimant(s): Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
| | $0 |
| 18-01937 | 03/20/2019 | Claimant(s): John Coyle
Claimant Lawyers(s): Clint A. Corrie
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan Neerman
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
| | $0 |
| 18-03123 | 03/20/2019 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay Wuller
Respondent(s): Keir Harner
Respondent Lawyers(s): Keir Dane Harner
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Omaha, NE
| | $0 |
| 17-01993 | 03/19/2019 | Claimant(s): Adam Kaplan, Daniel Kaplan
Claimant Lawyers(s): John D. Singer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Susan C. Lushing, Joseph I. Liebman, Lynnette Rich
Hearing Site: New York, NY
| | $0 |
| 18-01303 | 03/19/2019 | Claimant(s): Mark Rosenberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Harry G. Mason
Hearing Site: Atlanta, GA
| | $0 |
| 18-02088 | 03/19/2019 | Claimant(s): James Meyers
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Jim Geiger
Hearing Site: Pittsburgh, PA
| | $0 |
| 18-02426 | 03/19/2019 | Claimant(s): Sam Faltas
Claimant Lawyers(s): Sam Faltas
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Justin E. Condit
Arbitrator(s): Julian F. Santos, Simone A. Muscarnera, Robert A. Cohen
Hearing Site: Newark, NJ
| | $0 |
| 18-02494 | 03/19/2019 | Claimant(s): Michael Bellware
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Morgan Stanley, Morgan Stanley DW Inc.
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
| | $0 |
| 18-03329 | 03/19/2019 | Claimant(s): Edelman Financial Services
Claimant Lawyers(s): Connie Bertram
Respondent(s): Cary Street Partners Investment Advisory, Raymond James Reibel II
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Jane C. Carney, Jonathan Edward Levine, Karl Dean Larson
Hearing Site: Richmond, VA
| | $0 |
| 17-00158 | 03/18/2019 | Claimant(s): Dominik Weber
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): PNC Investments
Respondent Lawyers(s): Frederic L. Lieberman
Arbitrator(s): Gregory Hunter Mathews, Peter Vincent Marcoline, William Francis Ryan
Hearing Site: Pittsburgh, PA
| | $0 |
