| 18-03815 | 09/14/2021 | Claimant(s): Robert McCabe
Claimant Lawyers(s): Jonathan B. Butler
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Beth A. Black
Arbitrator(s): Herbert Branitsky, Ellen J. Abrams, Laura Jeanette Bornheimer
Hearing Site: Boca Raton, FL
| | |
| 20-02489 | 09/14/2021 | Claimant(s): Debra Bushman
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Jill B. Clarke
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
| | |
| 20-03151 | 09/14/2021 | Claimant(s): Matthew West
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): USCA RIA LLC, USCA Securities LLC
Respondent Lawyers(s): Therese L. Surprenant
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 21-00468 | 09/14/2021 | Claimant(s): Tim Chen
Claimant Lawyers(s): George C. Miller
Respondent(s): M. S. Howells & Co.
Respondent Lawyers(s): Robert L. Hill
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | |
| 21-01544 | 09/14/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): John W. Joyce
Respondent(s): Cesar Olivares
Respondent Lawyers(s): Cesar Emilio Olivares
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | |
| 20-03380 | 09/14/2021 | Claimant(s): Randal Kertzman
Claimant Lawyers(s): Lars Soreide
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Paul Lansing
Hearing Site: Indianapolis, IN
|  | Expungement |
| 20-03620 | 09/14/2021 | Claimant(s): Marketing Concepts Group 401(K) & Profit
Claimant Lawyers(s): Donald A. Murday
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Chicago, IL
| | $8,130 |
| 19-02202 | 09/13/2021 | Claimant(s): Scott Ratajczak
Claimant Lawyers(s): Christopher P. Milazzo
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Catherine Stewart, Robert E. Anderson, John Herbert Grefe
Hearing Site: Jersey City, NJ
| | |
| 20-03487 | 09/13/2021 | Claimant(s): Judy Block, Frances Norman Block Trust
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Morgan Stanley, Robert Ruffo
Respondent Lawyers(s): Abigail Elrod
Arbitrator(s): Paul C. Kurland, Laura Carraher, Rory M. McLaughlin
Hearing Site: New York, NY
| | Expungement |
| 20-03101 | 09/10/2021 | Claimant(s): Phil Scott
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Jane Ann McKenzie
Hearing Site: Seattle, WA
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