| 19-03809 | 05/27/2021 | Claimant(s): Gerardo Brauer, Reyna Reichert
Claimant Lawyers(s): Gerardo Brauer
Respondent(s): John McDermott, UBS Financial Services Inc., Paul Campbell, Robert McCann
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Thomas A. Cipolla, G. Maynard Green, Robin Pacholder
Hearing Site: Houston, TX
|  | $0 |
| 20-01411 | 05/26/2021 | Claimant(s): Edward Tyree, Tammy Hillman
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): RBC Capital Markets LLC, Richard Ruckart
Respondent Lawyers(s): Amanda E. Colvin
Arbitrator(s): Chase Boone Saunders, Richard E. Miley, Kathleen Dooley
Hearing Site: Charlotte, NC
| | |
| 20-02831 | 05/26/2021 | Claimant(s): Robert Amoruso
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Johan E. Tatoy
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
| | |
| 20-03163 | 05/26/2021 | Claimant(s): Bruce Slater
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Tampa, FL
| | |
| 20-03367 | 05/26/2021 | Claimant(s): Stephen Bender
Claimant Lawyers(s): Brian Luther
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Francis A. King
Hearing Site: Pittsburgh, PA
| | |
| 19-02808 | 05/26/2021 | Claimant(s): Thomas Mayberry
Claimant Lawyers(s): Mitchell Markowitz
Respondent(s): Clifford Reid, Elvis Parkes, Reid & Rudiger LLC
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
| | Expungement |
| 20-02411 | 05/25/2021 | Claimant(s): Peter Schiff
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): A.G.P. / Alliance Global Partners
Respondent Lawyers(s): John Venezia
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | |
| 20-02991 | 05/25/2021 | Claimant(s): Kirk Mandlin
Claimant Lawyers(s): Chelsea Masters
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | |
| 20-03051 | 05/25/2021 | Claimant(s): Christopher Carolan
Claimant Lawyers(s): Robert L Gonser
Respondent(s): Morgan Stanley & Co., A. G. Edwards & Sons.
Respondent Lawyers(s): Geoff Beckham, Simon M. Levy
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
| | |
| 20-03244 | 05/25/2021 | Claimant(s): Robert Crothers
Claimant Lawyers(s): Robert Moses
Respondent(s): American Portfolios Financial Srvs.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Lise Gabrielle Hunter
Hearing Site: New York, NY
| | |
