19-01613 | 11/14/2019 | Claimant(s): Jerry Etter Claimant Lawyers(s): Scott Etter Respondent(s): Todd Hasie Respondent Lawyers(s): Eric Chen Arbitrator(s): Joseph Neal Richardson Hearing Site: Dallas, TX
| | $88 |
17-00904 | 11/13/2019 | Claimant(s): Juan Angel Rodriguez, Myriam Gonzalez Claimant Lawyers(s): Lawrence Bradley Hancock Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jack D. Ballard Arbitrator(s): Maryanne M. Esser, Malcolm Edwin Whittaker, Allan R. Lazor Hearing Site: Houston, TX
| | $1,554,840 |
18-02479 | 11/13/2019 | Claimant(s): Betsy Hoffman Claimant Lawyers(s): Betsy Hoffman Respondent(s): Morgan Stanley Respondent Lawyers(s): Jeremy S. Winer Arbitrator(s): Julian F. Santos, Edward S. Hill, Christine H Barrington Hearing Site: Hartford, CT
| | $0 |
18-03683 | 11/13/2019 | Claimant(s): Estate of Ava Nell Harris Claimant Lawyers(s): Steven P. Harrelson Respondent(s): Edward Jones, Joshua Tice Respondent Lawyers(s): Jay Bequette Arbitrator(s): James A. Parker Hearing Site: Little Rock, AR
| | $0 |
18-01527 | 11/12/2019 | Claimant(s): Jose F. Ortiz Vazquez IRA, Jose F. Ortiz Vazquez & Sandra M. Garcia Claimant Lawyers(s): Eric Quetglas Jordan, Luis E. Minana Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR Respondent Lawyers(s): Guillermo J. Bobonis Arbitrator(s): David Edward Upton, Richard H. Porter, Frank V. Tutone Hearing Site: San Juan, PR
| | $0 |
18-03960 | 11/12/2019 | Claimant(s): Catherine Baker Claimant Lawyers(s): D. Daxton White Respondent(s): Taylor Capital Management Inc. Respondent Lawyers(s): Preston Spears Arbitrator(s): Richard H. Potter, Michael J. Ahlstrom, John A. Baynes Hearing Site: Charlotte, NC
| | $228,384 |
18-02805 | 11/11/2019 | Claimant(s): The Leonard and Gen Winton Trust Claimant Lawyers(s): Robert G. Knaier Respondent(s): Scottrade Inc., TD Ameritrade. Respondent Lawyers(s): William M. Turner Arbitrator(s): James D. Knotter, Chad Anthony Franks, Charles Chia-Lin Hsieh Hearing Site: San Diego, CA
| | $0 |
19-01497 | 11/11/2019 | Claimant(s): Edward Engbarth Claimant Lawyers(s): Edward Engbarth Respondent(s): Joseph Amato, Alexander Capital, L.P. Respondent Lawyers(s): Martin P. Unger Arbitrator(s): Marc Kalish Hearing Site: Phoenix, AZ
| | $10,141 |
18-00449 | 11/08/2019 | Claimant(s): Isabel Katzin IRA, Richard Katzin IRA, Richard & Isabel Katzin Claimant Lawyers(s): Bradley D. Schnur Respondent(s): Wells Fargo Clearing Services, Robert Greene Respondent Lawyers(s): Demian Betz Arbitrator(s): Annamaria Boccia Smith, Arthur M. Schoenberger, Kent L. Benziger Hearing Site: New York, NY
| | $0 |
18-03529 | 11/07/2019 | Claimant(s): Estate of Gerald Seldin, Gerald Seldin Residuary Trust u/w dated Claimant Lawyers(s): Jeffrey E. Nusinov Respondent(s): Alan Hess, Morgan Stanley Respondent Lawyers(s): Jeremy S. Winer Arbitrator(s): Edward J. Gutman, James Ray Eyler, Thomas M. Devlin Hearing Site: Baltimore, MD
| | $173,202 |