| 18-03108 | 08/15/2019 | Claimant(s): Edwin Mendez Mendez
Claimant Lawyers(s): Juan C. Blasini Gonzalez
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Paula A. Gonzalez-Montalvo
Arbitrator(s): Dineo Coleman Gary
Hearing Site: San Juan, PR
|  | $40,817 |
| 18-02207 | 08/15/2019 | Claimant(s): Warren Pitre
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Sherry R. Wetsch, Ashley Lucile Belleau, Bertrand C. Moser
Hearing Site: New Orleans, LA
| | Expungement |
| 19-00460 | 08/15/2019 | Claimant(s): Hennessee Family Trust
Claimant Lawyers(s): Paul C. Cox
Respondent(s): Wells Fargo Clearing Services, William Paynter
Respondent Lawyers(s): Jeffrey Rodgers
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
| | Expungement |
| 18-04352 | 08/14/2019 | Claimant(s): Gary Meshell
Claimant Lawyers(s): Gary B. Meshell
Respondent(s): Gary Stern, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Logan S. Fisher
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
| | Expungement |
| 18-03452 | 08/13/2019 | Claimant(s): Rao Palanki
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Dustin Martin, Madison Avenue Securities.
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Isidoro Berkman, Mark Lee Haggard, Lorena Reynolds
Hearing Site: Portland, OR
| | Expungement |
| 19-00988 | 08/12/2019 | Claimant(s): Ustocktrade Securities.
Claimant Lawyers(s): Francesco Matteini
Respondent(s): Jamal Woods
Respondent Lawyers(s): Jamal Woods
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Chicago, IL
| | $0 |
| 18-00400 | 08/12/2019 | Claimant(s): Benjamin Kwon, Castle Eurasia Corp, El Centro Acres
Claimant Lawyers(s): Benjamin Kwon
Respondent(s): Milan Konkol, MUFG Union Bank, N.A., Unionbanc Investment Services
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Thomas E. Shuck, Jack R. Goetz, Lisa Miller
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12212(c) |
| 18-02420 | 08/12/2019 | Claimant(s): Jill Morris
Claimant Lawyers(s): John L. Davis
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
| | $125 |
| 18-02536 | 08/12/2019 | Claimant(s): Joan Mayes
Claimant Lawyers(s): Ralph W. Heninger
Respondent(s): LPL Financial LLC, Jeff Newburn
Respondent Lawyers(s): Brian Harlan, Dochtor Kennedy
Arbitrator(s): Leo G. Stern
Hearing Site: Des Moines, IA
| | Expungement |
| 18-04192 | 08/12/2019 | Claimant(s): Kenneth Ebbe
Claimant Lawyers(s): John A. Mangones
Respondent(s): Donald Gunn, Richard Frueh, Leerink Partners LLC
Respondent Lawyers(s): Burton W. Wiand, David H. Jarvis, Lloyd S. Clareman
Arbitrator(s): Howard N. Gorney, Gene M. Bauer, Peter M Cosel
Hearing Site: Boston, MA
| | Dismissed by Rule 12206/12504 |
