| 20-03995 | 10/27/2021 | Claimant(s): Michael Williams
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): Brian Shambo, Daniel Markow, Kyle Morgan, Merrill Lynch Pierce Fenner & Smith Inc., Thomas Nelson
Respondent Lawyers(s): Rachael Luken Carp
Arbitrator(s): Lawrence Alan Saichek, Will Murphy, Magda M. Fernandez Torres
Hearing Site: Boca Raton, FL
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| 21-00484 | 10/27/2021 | Claimant(s): Eddie Ghabour
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equity Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
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| 21-01046 | 10/27/2021 | Claimant(s): Tina Wang
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
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| 19-00994 | 10/27/2021 | Claimant(s): Francesco Umbriaco
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Allen Wagner, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Jim Geiger, Thomas R Nathan, Jason L Pearlman
Hearing Site: Philadelphia, PA
|  | Expungement |
| 17-00265 | 10/27/2021 | Claimant(s): Evelyn Wurm, Paul Wurm, Paul & Evelyn Wurm JTWROS
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Christopher Olson
Respondent Lawyers(s): Christopher Ronald Olson
Arbitrator(s): Mark S. Gleason
Hearing Site: Minneapolis, MN
| | $0 |
| 20-03039 | 10/26/2021 | Claimant(s): Roger Follis
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Robertson Stephens.
Respondent Lawyers(s): Vincent V. Mulcahy
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Washington, DC
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| 20-03228 | 10/26/2021 | Claimant(s): Gerald O'Halloran
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Kovack Securities Inc
Respondent Lawyers(s): Amy S. Towle
Arbitrator(s): David M. Snyder
Hearing Site: Tampa, FL
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| 21-00736 | 10/26/2021 | Claimant(s): David Rojas
Claimant Lawyers(s): Roberto C Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina
Arbitrator(s): Elena G. Rodriguez
Hearing Site: San Juan, PR
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| 21-00953 | 10/26/2021 | Claimant(s): Xavier Aguayo Diaz
Claimant Lawyers(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
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| 21-01136 | 10/26/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): John W. Joyce
Respondent(s): Atif Mughal
Respondent Lawyers(s): Atif Iqbal Mughal
Arbitrator(s): Douglas Wade Carvell
Hearing Site: Dallas, TX
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