| 20-02065 | 11/27/2020 | Claimant(s): John Morris
Claimant Lawyers(s): Melissa J. Gworek
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Linda J. Baer
Hearing Site: Newark, NJ
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| 20-01376 | 11/24/2020 | Claimant(s): Edmund Iannacone
Claimant Lawyers(s): Brian Luther
Respondent(s): Ameriprise Financial Services, UBS Financial Services Inc.
Respondent Lawyers(s): Howard M. Klausmeier, Omar Perez
Arbitrator(s): Martin R. Cramer
Hearing Site: Newark, NJ
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| 20-01925 | 11/09/2020 | Claimant(s): Paul Stevens
Claimant Lawyers(s): Omar Perez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
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| 20-00435 | 10/28/2020 | Claimant(s): Sylvester Knox
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
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| 20-00427 | 10/27/2020 | Claimant(s): Sylvester Knox
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
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| 19-03546 | 10/21/2020 | Claimant(s): John Slipek
Claimant Lawyers(s): Scott Holcomb
Respondent(s): NewBridge Securities Corp., Investors Capital Corp., J.P. Turner & Company
Respondent Lawyers(s): David Feldstein, Gregg Breitbart
Arbitrator(s): Sam Antar
Hearing Site: Newark, NJ
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| 20-00600 | 10/20/2020 | Claimant(s): Mridula Anbarasan
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Julian F. Santos, Catherine Stewart, James F. Rohrman
Hearing Site: Newark, NJ
|  | Dismissed by Rule 12206/12504 |
| 19-03816 | 10/19/2020 | Claimant(s): Timothy Burklow
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Micalyn S. Harris
Hearing Site: Newark, NJ
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| 20-00903 | 10/19/2020 | Claimant(s): William Sheehan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
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| 20-00428 | 10/14/2020 | Claimant(s): Sylvester Knox
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
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