| 19-00035 | 10/24/2019 | Claimant(s): Francesco Traina
Claimant Lawyers(s): Michelle M. Atlas
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Mark C. Perry
Hearing Site: Boca Raton, FL
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| 19-00488 | 10/17/2019 | Claimant(s): Robert Burns
Claimant Lawyers(s): Harris Freedman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Monica I. Salis
Hearing Site: Boca Raton, FL
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| 19-00479 | 10/16/2019 | Claimant(s): Stephen Sullivan
Claimant Lawyers(s): Joelle A Simms
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
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| 18-02939 | 10/16/2019 | Claimant(s): Barry Andrew Zeeman Rev. Trust
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Leslie L. Cooney, Gloria F. Katz, Joseph Benalt
Hearing Site: Boca Raton, FL
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| 18-04114 | 10/16/2019 | Claimant(s): Susan Valentine
Claimant Lawyers(s): Susan M. Valentine
Respondent(s): Michael Sabo, Raymond James Financial Services.
Respondent Lawyers(s): Brandy Pikus, Foster S. Goldman
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
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| 19-00148 | 10/14/2019 | Claimant(s): William Elmore
Claimant Lawyers(s): Harris M. Freedman
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
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| 19-01579 | 10/03/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Elio F. Martinez
Respondent(s): Peter Ingraham
Respondent Lawyers(s): Peter J. Ingraham
Arbitrator(s): Bernard A. Becker
Hearing Site: Boca Raton, FL
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| 19-00324 | 10/02/2019 | Claimant(s): Christopher Nichols
Claimant Lawyers(s): Matthew E. Wolper
Respondent(s): LPL Financial LLC, Lincoln Financial Securities Corporation
Respondent Lawyers(s): Jon D. Kaplon, Michael W. Arnold
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
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| 18-02617 | 10/02/2019 | Claimant(s): Rebecca Frederick
Claimant Lawyers(s): Rebecca Frederick
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Monroe Mitchel
Hearing Site: Boca Raton, FL
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| 19-01062 | 09/25/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Lauren R. Whetstone
Respondent(s): Nicholas Giambri
Respondent Lawyers(s): Nicholas Anthony Giambri
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
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