| 18-02677 | 03/18/2019 | Claimant(s): Lyle Pennell
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Steven R. Rolnick
Hearing Site: Hartford, CT
| | $0 |
| 16-01710 | 03/15/2019 | Claimant(s): Seth Radow
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Susan B. Gans-Smith, Marc S. Joseph, Michael R. Diliberto
Hearing Site: Los Angeles, CA
| | $0 |
| 16-03361 | 03/15/2019 | Claimant(s): Jamarr Delauney
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Thomas Allan Dubbs, John D. Nagy, Serge Krimnus
Hearing Site: New York, NY
| | $0 |
| 17-02323 | 03/15/2019 | Claimant(s): Frank Wong
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Dan Brecher, Domitilia M. dos Santos, Simone A. Muscarnera
Hearing Site: New York, NY
| | $0 |
| 18-00848 | 03/15/2019 | Claimant(s): Ken Kavanagh
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): D'Anna Harper
Arbitrator(s): Joseph I. Liebman
Hearing Site: New York, NY
| | $0 |
| 18-02958 | 03/15/2019 | Claimant(s): Chi-Hong Chu
Claimant Lawyers(s): Robert Moses
Respondent(s): American Portfolios Financial Services,
Respondent Lawyers(s): Frank A. Tauches
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Newark, NJ
| | $0 |
| 18-03493 | 03/15/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N Will
Respondent(s): Sait Saraci
Respondent Lawyers(s): Sait Alex Saraci
Arbitrator(s): Elliott D. Finkel
Hearing Site: Los Angeles, CA
| | $0 |
| 17-03028 | 03/14/2019 | Claimant(s): Michael Liciardello
Claimant Lawyers(s): Michael M. Liciardello
Respondent(s): Newedge USA LLC
Respondent Lawyers(s): Stacie R. Hartman
Arbitrator(s): Joseph J. Arata, William G. Binckes, Charles L. Henderson
Hearing Site: New York, NY
| | $0 |
| 18-01910 | 03/14/2019 | Claimant(s): Stephen Huggins
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Muriel Desloovere
Hearing Site: Jacksonville, FL
| | $0 |
| 18-02025 | 03/14/2019 | Claimant(s): James Gibson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Jim Geiger
Hearing Site: Wilmington, DE
| | $0 |
