| 17-03307 | 02/26/2019 | Claimant(s): Glenn Capel
Claimant Lawyers(s): Linda D. Friedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Langfred W. White, Karen A. West, David Josephsohn
Hearing Site: Raleigh, NC
| | $0 |
| 18-00434 | 02/26/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Joshua Bliss
Respondent Lawyers(s): Joshua Christopher Bliss
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | $0 |
| 18-01130 | 02/26/2019 | Claimant(s): Robert Buchanan
Claimant Lawyers(s): Joelle A. Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig. Vollono
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
| | $0 |
| 18-01553 | 02/26/2019 | Claimant(s): Irvin Rosenzweig
Claimant Lawyers(s): Christopher Coss
Respondent(s): UBS Financial Services Inc., PNC Investments
Respondent Lawyers(s): Frederic L. Liberman, Sean J. Coughlin
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
| | $0 |
| 18-02830 | 02/26/2019 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Paul Ellis
Respondent Lawyers(s): Bridget Donegan
Arbitrator(s): Charles Scott McClellan
Hearing Site: Seattle, WA
| | $0 |
| 18-03036 | 02/26/2019 | Claimant(s): William Isaacson
Claimant Lawyers(s): Harris Freedman
Respondent(s): Independent Financial Group., Quick & Reilly.
Respondent Lawyers(s): Joel M. Everest, Sarah J. Kreisman
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | $0 |
| 18-03567 | 02/26/2019 | Claimant(s): Mark Edwards
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Eric Chartan
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | $0 |
| 18-01133 | 02/25/2019 | Claimant(s): Capital One Investing
Claimant Lawyers(s): James A. Nofi
Respondent(s): Guiseppe Gigliotti
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Henry F. Minnerop, Ted M. Rosen, Peter A. Seibel
Hearing Site: New York, NY
| | $0 |
| 18-01671 | 02/25/2019 | Claimant(s): Ian Meierdiercks
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): SA Stone Wealth Management Inc.
Respondent Lawyers(s): Andrew R. Chambless
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
| | $0 |
| 18-02633 | 02/25/2019 | Claimant(s): Gregory Powell
Claimant Lawyers(s): Joshua D. Jones
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): J. Maxwell Williams
Hearing Site: Birmingham, AL
| | $0 |
