| 20-02758 | 05/14/2021 | Claimant(s): Stephen Dissette
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): WMA Securities.
Respondent Lawyers(s): Clive Slovin
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
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| 20-03116 | 05/14/2021 | Claimant(s): Shaun Nicholson
Claimant Lawyers(s): Michael Bessette
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cincinnati, OH
| | |
| 20-03199 | 05/14/2021 | Claimant(s): Anthony Scaglione
Claimant Lawyers(s): Joshua F. Bautz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
| | |
| 19-03115 | 05/14/2021 | Claimant(s): Carole Rauf
Claimant Lawyers(s): Carole Dill Rauf
Respondent(s): T. Rowe Price Investment Services., Jennifer Farmer, Romelio Flores
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): Lawrence W. Arness
Hearing Site: Cincinnati, OH
|  | $2,467 |
| 21-00142 | 05/14/2021 | Claimant(s): Refael Shaoulian
Claimant Lawyers(s): Refael Shaoulian
Respondent(s): Robinhood Securities
Respondent Lawyers(s): Jonathan J. Brennan
Arbitrator(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
| | $0 |
| 20-02733 | 05/13/2021 | Claimant(s): Thomas Reich
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Diane Ciccone
Hearing Site: Philadelphia, PA
| | |
| 20-03127 | 05/13/2021 | Claimant(s): David Feigeles
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Nicola Anne Murphy
Arbitrator(s): Betty Chen
Hearing Site: New York, NY
| | |
| 19-02088 | 05/13/2021 | Claimant(s): Eugenia Fidalgo Gutierrez, Mercedes Fidalgo Gutierrez, Fidalgo Gutierrez Holding Corp.
Claimant Lawyers(s): Francisco A. Feliu Nigaglioni
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Peter S. Fruin, Roberto C. Quinones
Arbitrator(s): Marni E. Byrum, Dwayne E. Clark, William D. Goren
Hearing Site: San Juan, PR
| | $4,806,610 |
| 20-02888 | 05/13/2021 | Claimant(s): Gerald Corrigan
Claimant Lawyers(s): Gerald A. Corrigan
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffrey D. Rodgers
Arbitrator(s): John James McGovern
Hearing Site: Philadelphia, PA
| | $125 |
| 19-02927 | 05/12/2021 | Claimant(s): Douglas Evans, Hickory Capital
Claimant Lawyers(s): Douglas Evans
Respondent(s): Kevin Sullivan, GWFS Equities.
Respondent Lawyers(s): Michael R. Greco, Timothy J. Perry
Arbitrator(s): Joan Marie Chiusano, Paul Allan Massaro, Lisa Diane Love
Hearing Site: Jersey City, NJ
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