| 20-03174 | 03/15/2021 | Claimant(s): David Donat
Claimant Lawyers(s): Stephan Louviere
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Peter H. Daly
Hearing Site: Rapid City, SD
| | |
| 20-03520 | 03/15/2021 | Claimant(s): Sean Dobranich
Claimant Lawyers(s): James P. Galvin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Mary M. O'Neil, Nicholas John Reiter, William Ogburn Huggins
Hearing Site: Las Vegas, NV
| | |
| 19-02005 | 03/15/2021 | Claimant(s): Megan Hait
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew Gelfand
Arbitrator(s): Shelley Teitelbaum, Julian F. Santos, Edward W. Morris
Hearing Site: New York, NY
|  | Expungement |
| 19-00816 | 03/15/2021 | Claimant(s): Reuben J Donig Atny At Law Sal Def Plan
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): Jon H. Sylvester, Gary Kostow, Carol Marshall
Hearing Site: San Francisco, CA
| | $0 |
| 20-01257 | 03/15/2021 | Claimant(s): Nagarajan Duraisamy
Claimant Lawyers(s): Nagarajan Duraisamy
Respondent(s): Ally Invest Securities LLC
Respondent Lawyers(s): Kiran V. Somashekara
Arbitrator(s): Helen Marinak Blohm, John J. Fitzpatrick, Christopher Cother Powers
Hearing Site: San Francisco, CA
| | $0 |
| 20-01368 | 03/12/2021 | Claimant(s): Erin Murphy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Providence, RI
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| 20-01822 | 03/12/2021 | Claimant(s): John Glenn
Claimant Lawyers(s): Zachary T Hayes-Macaluso
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Constance Ellen Boukidis
Hearing Site: San Diego, CA
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| 20-01903 | 03/12/2021 | Claimant(s): James Shoffner
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
| | |
| 20-01933 | 03/12/2021 | Claimant(s): Brian Moon
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): SCF Securities.
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | |
| 20-01981 | 03/12/2021 | Claimant(s): Andrew Lerner
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Justin D. Dickinson
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
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