| 19-01081 | 08/13/2021 | Claimant(s): Zenith Trust
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Peter G. Wilson
Arbitrator(s): Perry Lee Taylor, Walter William Harness, George Pinckney Shingler
Hearing Site: Atlanta, GA
|  | $0 |
| 20-03752 | 08/13/2021 | Claimant(s): Barbara Sopkin, Brummel Trust
Claimant Lawyers(s): Barbara Sopkin
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Katherine L. Schuerman
Arbitrator(s): Martin A. Feigenbaum, Barth Satuloff, Pamela Jane Weinroth
Hearing Site: Boca Raton, FL
| | $0 |
| 21-00395 | 08/13/2021 | Claimant(s): Michelle Legatzke IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Erinn M. Maguire
Arbitrator(s): Laurel Littman Gothelf, Peter H. Daly, Lesley Ann Troope
Hearing Site: Reno, NV
| | Dismissed by Rule 12206(b) |
| 19-01296 | 08/12/2021 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Ronald Behymer
Respondent Lawyers(s): Niel Prosser
Arbitrator(s): Kenneth R. Starr, Chirag Dinesh Chauhan, Robert Stewart Barney
Hearing Site: Memphis, TN
| | |
| 21-00516 | 08/12/2021 | Claimant(s): Jennifer Duncan
Claimant Lawyers(s): Ann Sullivan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Richard James Igou
Hearing Site: Richmond, VA
| | |
| 21-00863 | 08/12/2021 | Claimant(s): Michael Rudelson
Claimant Lawyers(s): Cynthia R Moulton
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Shawn Shook
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 21-01539 | 08/12/2021 | Claimant(s): Gregory Shanaphy
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
| | |
| 19-02688 | 08/12/2021 | Claimant(s): Deborah Koch, Kenneth Koch, Deborah J. Koch Roth IRA, Kenneth Koch II IRA, Kenneth Koch II Roth IRA, Koch Holdings LLLP
Claimant Lawyers(s): Dietrich Epperson
Respondent(s): Raymond James Financial Services., Monica Baldwin
Respondent Lawyers(s): Katherine L. Handy
Arbitrator(s): Marilyn R. Lewis, Deanna M. Tuley, Julia Yael Ramos
Hearing Site: Cheyenne, WY
| | $165,000 |
| 18-01448 | 08/11/2021 | Claimant(s): Patrick Mullen
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): Key Investment Services LLC
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Elliot B. Platt, Diane Ciccone, Christopher Robert Madel
Hearing Site: Philadelphia, PA
| | |
| 19-02480 | 08/11/2021 | Claimant(s): Frederick Williams
Claimant Lawyers(s): Daniel Scott Furst
Respondent(s): Richard Giles, GFI Securities LLC
Respondent Lawyers(s): Nirav S. Shah
Arbitrator(s): Andrew Joseph Donovan, Mitchell Regenbogen, James Stanley Kozera
Hearing Site: New York, NY
| | |
