| 20-03130 | 08/19/2021 | Claimant(s): Jane Marie Sullivan
Claimant Lawyers(s): Zachary Morse
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
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| 21-00033 | 08/19/2021 | Claimant(s): Neer Hodorov
Claimant Lawyers(s): Harry Sherman
Respondent(s): Leumi Investment Services.
Respondent Lawyers(s): Christopher J. Gawley
Arbitrator(s): Michael H DuBoff, Andrew Robert Kosloff, Edmund Timothy Donovan
Hearing Site: New York, NY
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| 20-03493 | 08/19/2021 | Claimant(s): Ryan Szamosszegi
Claimant Lawyers(s): Ryan Szamosszegi
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Edward Banian, Robert E. Jenks, H. Stuart Waxman
Hearing Site: Los Angeles, CA
|  | Dismissed by Rule 12212 |
| 19-00017 | 08/18/2021 | Claimant(s): Elizabeth Silver, Jason Geisz, Raymond Biswanger, Robert Alati
Claimant Lawyers(s): David M. Foster
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Patrick R. Sughroue, Wayne Carl Hallquist, Timothy Guerriero
Hearing Site: Detroit, MI
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| 19-03776 | 08/18/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jessica Klein
Respondent(s): Leo Eastman
Respondent Lawyers(s): Leo Otto Eastman
Arbitrator(s): Michael John Florio
Hearing Site: Las Vegas, NV
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| 20-01969 | 08/18/2021 | Claimant(s): David Dubin
Claimant Lawyers(s): David Harrison
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
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| 20-03210 | 08/18/2021 | Claimant(s): Michael Greenfield
Claimant Lawyers(s): Mark Simms
Respondent(s): Morgan Stanley, The GMS Group
Respondent Lawyers(s): Kimberly J. Gustafson, Matthew E. Lipman
Arbitrator(s): Leslie L. Cooney
Hearing Site: Boca Raton, FL
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| 20-04155 | 08/18/2021 | Claimant(s): Christopher McDonagh, Daniel Bauers, Theodore McDonagh
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
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| 21-00100 | 08/18/2021 | Claimant(s): Robert Tansey
Claimant Lawyers(s): Frederic M. Krieger
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
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| 21-00260 | 08/17/2021 | Claimant(s): Francisco Landivar
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
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