| 20-04220 | 12/13/2021 | Claimant(s): Jorge Guerrero, Maria Espada
Claimant Lawyers(s): Luis E. Minana
Respondent(s): Popular Securities.
Respondent Lawyers(s): Maria T. Alvarez-Santos
Arbitrator(s): Robert G. Falbisaner, Jaime Rosario, Wanda L Esteras
Hearing Site: San Juan, PR
|  | Dismissed by Rule 12206 |
| 21-00544 | 12/13/2021 | Claimant(s): Ranjit LoboPrabhu
Claimant Lawyers(s): Ranjit LoboPrabhu
Respondent(s): Charles Schwab & Co.., TD Ameritrade.
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Jacqueline R. Fox, Michael S. Yauch, Katherine Parsley
Hearing Site: Houston, TX
| | $0 |
| 20-01049 | 12/10/2021 | Claimant(s): CBIZ Financial Solutions.
Claimant Lawyers(s): Jeffrey S. Dunlap
Respondent(s): Timothy Schannep
Respondent Lawyers(s): Roscoe J. Mutz
Arbitrator(s): Kenneth R. Johnston, Marc Kalish, Harold J. Merkow
Hearing Site: Phoenix, AZ
| | |
| 20-01846 | 12/10/2021 | Claimant(s): Josh Frankel
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Chase Investment Services Corp., HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein, Thomas J. Cahill
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
| | |
| 21-00835 | 12/10/2021 | Claimant(s): John Reilly
Claimant Lawyers(s): Zachary Morse
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Nancy J. Cliff
Hearing Site: Boca Raton, FL
| | |
| 21-00927 | 12/10/2021 | Claimant(s): Eric Abbott
Claimant Lawyers(s): Harris Freedman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael A. Gross
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: Tampa, FL
| | |
| 21-01116 | 12/10/2021 | Claimant(s): Andy Schwartz
Claimant Lawyers(s): John D. Stewart
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Patricia Kathleen Costello
Hearing Site: Jersey City, NJ
| | |
| 21-01386 | 12/10/2021 | Claimant(s): Victor Tomassini
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
| | |
| 20-00461 | 12/10/2021 | Claimant(s): Brian Bertrand
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory Scanlon
Arbitrator(s): Bill Lamoreaux
Hearing Site: Dallas, TX
| | $0 |
| 21-01080 | 12/10/2021 | Claimant(s): Leon Behar
Claimant Lawyers(s): Leon I. Behar
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Howard J. Stiefel, Terrance J. Nolan, Rajeev Suresh Shah
Hearing Site: New York, NY
| | $0 |
