| 19-01935 | 07/06/2021 | Claimant(s): Noemi Escobar & Jose Betances TTEE
Claimant Lawyers(s): Bruce H. Nagel
Respondent(s): Morgan Stanley, Wade Martin, Comerica Bank
Respondent Lawyers(s): Francis P. Maneri, Joseph A. Sack, Sean J. Coughlin
Arbitrator(s): Catherine Stewart, Jay Alan Kranis, Avram B Segall
Hearing Site: Jersey City, NJ
|  | Expungement |
| 20-00013 | 07/02/2021 | Claimant(s): Mark Black
Claimant Lawyers(s): Victor Bayata
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Sharon R. Merriman, Pamela K. Ginsburg, David Winchester Peck
Hearing Site: Cincinnati, OH
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| 20-02034 | 07/02/2021 | Claimant(s): Shomir Mukherjee
Claimant Lawyers(s): Steve A. Buchwalter
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Erik R. Siering, Constance Ellen Boukidis, Brant Jackson Griffin
Hearing Site: Los Angeles, CA
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| 20-02464 | 07/02/2021 | Claimant(s): David Weinstein
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Dawson James Securities.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
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| 20-02633 | 07/02/2021 | Claimant(s): Brian Vosberg
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Bryan Gless
Arbitrator(s): Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
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| 20-03176 | 07/02/2021 | Claimant(s): Meagan Phelps
Claimant Lawyers(s): Zachary Hayes- Macaluso
Respondent(s): Madison Avenue Securities, Syndicated Capital.
Respondent Lawyers(s): Faith Lee, Jeffrey S. Kob
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | |
| 20-03237 | 07/02/2021 | Claimant(s): Xavier Aguayo Diaz
Claimant Lawyers(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
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| 20-02438 | 07/01/2021 | Claimant(s): Michael Higgins
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Scott & Stringfellow
Respondent Lawyers(s): Christina M. Hill
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Richmond, VA
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| 20-02716 | 07/01/2021 | Claimant(s): Norman Robertson
Claimant Lawyers(s): Frances Menzer
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | |
| 20-02734 | 07/01/2021 | Claimant(s): Damian Dering
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
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