| 19-03553 | 08/02/2021 | Claimant(s): Camille King, Scottow King
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jeff Goldman
Arbitrator(s): Andrea U. Calve, Mary Elizabeth Skelnik, Demetria Charissee Howard
Hearing Site: Dallas, TX
|  | $0 |
| 20-01477 | 08/02/2021 | Claimant(s): JDSF Investments
Claimant Lawyers(s): Thomas F. Burke
Respondent(s): Kevin Perlberg, United Planners' Financial Services of A
Respondent Lawyers(s): David A. Baugh, Jonathan M. Sterling
Arbitrator(s): Jeffry M. Bauer, Gregory G. Wille, David E. Jarvis
Hearing Site: Milwaukee, WI
| | Dismissed by Rule 12206 |
| 20-02805 | 08/02/2021 | Claimant(s): Jon F Sipe Christine Sipe JT TEN/WROS
Claimant Lawyers(s): David Vermont
Respondent(s): Dennis Riordan
Respondent Lawyers(s): Paul Goodman
Arbitrator(s): Marcia Bonita Gevers
Hearing Site: Chicago, IL
| | Dismissed by Rule 12206 |
| 20-03915 | 08/02/2021 | Claimant(s): Bernadette Donisch, William Donisch
Claimant Lawyers(s): William Donisch
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Amanda H. Wright
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 21-00946 | 08/02/2021 | Claimant(s): Steven Yeung
Claimant Lawyers(s): Steven Yeung
Respondent(s): Robinhood Financial., Robinhood Securities
Respondent Lawyers(s): Jonathan J. Brennan
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
| | $0 |
| 19-03221 | 07/30/2021 | Claimant(s): Brittany Russell
Claimant Lawyers(s): Frances Menzer
Respondent(s): The Huntington Investment Company
Respondent Lawyers(s): Paul R. Harris
Arbitrator(s): Stanley Yorsz, Catherine Stewart, Mark A. Sipper
Hearing Site: Pittsburgh, PA
| | |
| 20-02795 | 07/30/2021 | Claimant(s): Garland Homes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Richard James Igou
Hearing Site: Raleigh, NC
| | |
| 20-02928 | 07/30/2021 | Claimant(s): Daniel Avan
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | |
| 20-03144 | 07/30/2021 | Claimant(s): Garyn Angel
Claimant Lawyers(s): Joshua A Katz
Respondent(s): Invest Financial Corporation, Transamerica Financial Advisors
Respondent Lawyers(s): Eric A. Michaels, Susan D. Duff
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
| | |
| 21-00980 | 07/30/2021 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): John B. Clark
Respondent(s): Steven Mitchell
Respondent Lawyers(s): Steven Jay Mitchell
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | |
