| 21-01256 | 10/07/2021 | Claimant(s): Jon Andrewjeski
Claimant Lawyers(s): Jon Andrewjeski
Respondent(s): Michael Blumer, Michael Leahy
Respondent Lawyers(s): Michael Christopher Blumer, Michael Leahy
Arbitrator(s): Bert P. Krages
Hearing Site: Seattle, WA
|  | $48,600 |
| 20-02840 | 10/06/2021 | Claimant(s): John Randolph
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Philip J. Glick
Hearing Site: Minneapolis, MN
| | |
| 21-00061 | 10/06/2021 | Claimant(s): Michael Brown
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
| | |
| 21-01993 | 10/06/2021 | Claimant(s): Kathleen Entwistle
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Michael H DuBoff
Hearing Site: New York, NY
| | |
| 18-01020 | 10/06/2021 | Claimant(s): Nancy Tucker
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Steven T. Stern, Gordon M. Wase, Kerrie A. Campbell-Garrett
Hearing Site: Philadelphia, PA
| | $104,900 |
| 20-04151 | 10/06/2021 | Claimant(s): Paul Gorsuch
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Kathleen M. Klein
Arbitrator(s): Thomas Michael Genovese
Hearing Site: Chicago, IL
| | $65,000 |
| 17-03112 | 10/06/2021 | Claimant(s): Delia Hauser, Hauser Non-Exempt Marital Trust 12/20/96
Claimant Lawyers(s): Delia Hauser
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Bradford D. Kaufman
Arbitrator(s): Sandra L. Malek, Constance Ellen Boukidis, Raelynn Napper
Hearing Site: Los Angeles, CA
| | Expungement |
| 20-01639 | 10/06/2021 | Claimant(s): Judith Cohen, MaxTrustDtd1/16/97 an AZ RvcbleLvgTrust
Claimant Lawyers(s): Jonah Toleno
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald Corbett
Arbitrator(s): Timothy J. Kroll, Floyd Gerry Hoffman, Ronald Stewart Ripley
Hearing Site: Phoenix, AZ
| | $0 |
| 21-01255 | 10/06/2021 | Claimant(s): Catherine Davis, Catherine C. Davis Trust
Claimant Lawyers(s): Catherine C. Davis
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Minneapolis, MN
| | $43,296 |
| 20-02929 | 10/05/2021 | Claimant(s): Thomas Brough
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Philip J. Glick
Hearing Site: Chicago, IL
| | |
