| 20-02131 | 05/19/2021 | Claimant(s): Joseph Andreoli
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
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| 20-02697 | 05/19/2021 | Claimant(s): Jason Freiwald
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Eric D. Martin
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
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| 20-02776 | 05/19/2021 | Claimant(s): Gordon Wollman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Rapid City, SD
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| 20-03037 | 05/19/2021 | Claimant(s): Peter Nicoletti
Claimant Lawyers(s): Jonathan C. Schwartz
Respondent(s): Morgan Stanley & Co., Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart, Trae D. Meyr
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
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| 20-03638 | 05/19/2021 | Claimant(s): Kristopher Scher, Renee Scher, Kristopher Scher Trust, Renee Scher 2003 Irrevocable Trust, Stanley M. Scher Liv Trst dtd 8/10/82
Claimant Lawyers(s): Rod Bidgoli, Steve Buchwalter
Respondent(s): Eplanning Securities.
Respondent Lawyers(s): Timothy A. Menezes
Arbitrator(s): Stephen Howard Marcus
Hearing Site: Los Angeles, CA
|  | $362,395 |
| 20-03557 | 05/19/2021 | Claimant(s): Richard Mulvihill
Claimant Lawyers(s): Keith Mulvihill
Respondent(s): Lee Kramer
Respondent Lawyers(s): Kathleen M. Klein
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Washington, DC
| | Dismissed by Rule 12206 |
| 18-03894 | 05/18/2021 | Claimant(s): Stephen Guzylak
Claimant Lawyers(s): Robert J Girard
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Julie Taylor
Arbitrator(s): Robert M Stein, Dean J. Dietrich, Jeffry Canin
Hearing Site: Seattle, WA
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| 20-02946 | 05/18/2021 | Claimant(s): Matthew Williams
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Louis M. Parker, Denis Frank, Carrie Lynette Thompson Jones
Hearing Site: Phoenix, AZ
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| 20-03053 | 05/18/2021 | Claimant(s): Mark Gaskill
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Ann C. McCague
Arbitrator(s): Katherine Hendricks
Hearing Site: Portland, OR
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| 20-03240 | 05/18/2021 | Claimant(s): Xavier Aguayo
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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