| 18-01751 | 11/01/2018 | Claimant(s): David Rath
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): John F. Allgood
Hearing Site: Atlanta, GA
| | |
| 15-01833 | 10/19/2018 | Claimant(s): Luis Moyett, DDL Jerico SE, Ludida PR.
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Gregory M. McCormick
Arbitrator(s): Robert N. Leitch, Ronelle W. Genser, Mollie Wagner Neal
Hearing Site: Atlanta, GA
|  | $19,003,700 |
| 18-00741 | 10/18/2018 | Claimant(s): Mark Rosenberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | |
| 17-02477 | 08/31/2018 | Claimant(s): Christopher Wynne, David Austin, Lisa Schiffer, Niraj Bhandari
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): Securities America.
Respondent Lawyers(s): Bruce M. Bettigole
Arbitrator(s): James R. McGuone, Gary P. Alexander, Jay A Kaplan
Hearing Site: Atlanta, GA
| | |
| 18-01025 | 08/13/2018 | Claimant(s): Terrance Joseph
Claimant Lawyers(s): Terrance Joseph
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): John F. Allgood
Hearing Site: Atlanta, GA
| | |
| 17-03489 | 07/09/2018 | Claimant(s): Adil Ali
Claimant Lawyers(s): Lawton R. Graves
Respondent(s): Mark Wowk
Respondent Lawyers(s): Mark Wowk
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | |
| 18-00734 | 06/15/2018 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Todd Ratner
Respondent(s): Whitney Stewart
Respondent Lawyers(s): Whitney W Stewart
Arbitrator(s): James R. McGuone
Hearing Site: Atlanta, GA
| | |
| 18-00027 | 06/07/2018 | Claimant(s): Huy Hoang
Claimant Lawyers(s): Huy Ngoc Hoang
Respondent(s): E*Trade Securities LLC, E*Trade Futures LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | $300 |
| 17-01330 | 05/17/2018 | Claimant(s): Vasileios Sfyris
Claimant Lawyers(s): Alan M. Wolper
Respondent(s): First Southern Securities.
Respondent Lawyers(s): John Holman
Arbitrator(s): Robert H. Putnam, Michael J. Stern, Shawn Barr
Hearing Site: Atlanta, GA
| | |
| 17-01331 | 05/04/2018 | Claimant(s): William Hawk
Claimant Lawyers(s): Alan M. Wolper
Respondent(s): First Southern Securities.
Respondent Lawyers(s): John Holman
Arbitrator(s): Michael J. Stern, John F. Allgood, David Frank Walbert
Hearing Site: Atlanta, GA
| | |
