| 20-03221 | 03/18/2021 | Claimant(s): Angus Miller
Claimant Lawyers(s): Sarah Yates
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Louis H Miron
Hearing Site: Jersey City, NJ
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| 19-01419 | 12/06/2019 | Claimant(s): Michael Rodriguez
Claimant Lawyers(s): Rogge Dunn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): Raymond C. Kerr, Robert J. Gregory, Colleen Margaret Baker
Hearing Site: Oklahoma City, OK
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| 18-00520 | 09/27/2018 | Claimant(s): Iain Sharpe
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 18-00698 | 08/31/2018 | Claimant(s): Mark Birringer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): Charles Orlove
Hearing Site: Chicago, IL
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| 17-03169 | 07/17/2018 | Claimant(s): Richard Homuth
Claimant Lawyers(s): Eric Litow
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Kansas City, MO
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| 17-02577 | 04/02/2018 | Claimant(s): Girish Thakar
Claimant Lawyers(s): Armin Sarabi
Respondent(s): A. G. Edwards & Sons., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Deidre Wolff, Sarah Yates
Arbitrator(s): Michael D. McDowell
Hearing Site: Pittsburgh, PA
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| 17-01201 | 03/16/2018 | Claimant(s): Alex Papadopoulos
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc., LaSalle Financial Services.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): James A. Murphy
Hearing Site: Chicago, IL
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