| 20-01844 | 05/10/2021 | Claimant(s): Edward Blacka
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselski
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Pittsburgh, PA
| | |
| 20-02514 | 05/10/2021 | Claimant(s): Brian Palkowitsh
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Transamerica Financial Advisors, Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Wichita, KS
| | |
| 20-02638 | 05/10/2021 | Claimant(s): Gerald Monahan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Mutual Of Omaha Investor Services.
Respondent Lawyers(s): Trenten P. Bausch
Arbitrator(s): John R. Loss
Hearing Site: Omaha, NE
| | |
| 20-02899 | 05/10/2021 | Claimant(s): Byron Studdard
Claimant Lawyers(s): Brian Luther
Respondent(s): American Portfolios Financial Srvs., Ameriprise Financial Services
Respondent Lawyers(s): Craig Vollono, Howard Klausmeier
Arbitrator(s): Gary E. Marcus
Hearing Site: Tampa, FL
| | |
| 20-03074 | 05/10/2021 | Claimant(s): Ryan Brault
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Edward Jones
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Susanne J. Hollander
Hearing Site: Chicago, IL
| | |
| 20-04209 | 05/10/2021 | Claimant(s): Richard Lozano
Claimant Lawyers(s): Richard R. Lozano
Respondent(s): Edward Balmes, Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): Gregory G. Gocek
Hearing Site: St. Louis, MO
|  | $2,050 |
| 19-02025 | 05/10/2021 | Claimant(s): Clyde Holland, Michele Holland
Claimant Lawyers(s): Randall Place
Respondent(s): Morgan Stanley, Thomas Eisenhuth
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Ron Pekoe, Gayle B. Carlson, John Briggs
Hearing Site: Orlando, FL
| | Expungement |
| 20-01456 | 05/10/2021 | Claimant(s): Leonard Bejger
Claimant Lawyers(s): Leonard James Bejger
Respondent(s): David Miller, Eric Burnette, Shelley Eddy, Peachcap Securities.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Mauricio Arcadier
Hearing Site: Orlando, FL
| | $300 |
| 20-02130 | 05/07/2021 | Claimant(s): John Distefano
Claimant Lawyers(s): Jennifer Farrar
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Robert S. Baran
Hearing Site: Kansas City, MO
| | |
| 20-02458 | 05/07/2021 | Claimant(s): Orlando Perez, Viviana Perez Cordero
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
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