| 20-02525 | 03/12/2021 | Claimant(s): Melisa Lloyd
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Thomas J. Patka
Hearing Site: Tampa, FL
| | |
| 20-02745 | 03/12/2021 | Claimant(s): Bryan Cogliano
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): New England Securities Corporation
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
| | |
| 20-03657 | 03/12/2021 | Claimant(s): Jose Chaves
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
| | |
| 19-01410 | 03/12/2021 | Claimant(s): Sherrie Pellini TTee of Sherrie Pellini
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): Michael Jaffe, Vaughn Norman Browne, Gerald M. Levine
Hearing Site: New York, NY
|  | $0 |
| 19-01535 | 03/12/2021 | Claimant(s): James W. Johnston, as Trustee of the
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): James W. Geiger, Richard Carl Smukler, Thomas Richard Blake
Hearing Site: Boca Raton, FL
| | $0 |
| 19-03356 | 03/12/2021 | Claimant(s): Eugenio Sanchez, Gloria Nunez de Landavazo, Humberto Peniche, Jessica Sordo, Lorenia Bustamante-Ibarra, Pablo Hernandez, Salvador Garcia-Ledesma, Elden LTD
Claimant Lawyers(s): Michael J. Stanley
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jeffrey J. Chapman
Arbitrator(s): Allan R. Lazor, Joshua Charles Nelson-Archer, Denise Ereka Peterson
Hearing Site: Houston, TX
| | $750 |
| 20-03807 | 03/12/2021 | Claimant(s): Douglas Bjornson
Claimant Lawyers(s): Jennifer A. Bjornson-Gillespie
Respondent(s): Gail Van Horn, Katherine Whelan, Kevin Christ, U.S. Bancorp Investments.
Respondent Lawyers(s): John Rock
Arbitrator(s): Dean J. Dietrich, Gerry A. Gunderson, Jo Anne F. Lewellen
Hearing Site: Bismarck, ND
| | Dismissed by Rule 12206 |
| 20-01572 | 03/11/2021 | Claimant(s): Ronald Large
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Clive I. Morrick
Hearing Site: New York, NY
| | |
| 20-02024 | 03/11/2021 | Claimant(s): JOHN SWAINE
Claimant Lawyers(s): Robert W. Pearce
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
| | |
| 20-02374 | 03/11/2021 | Claimant(s): Caroline Girgis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): John James McGovern
Hearing Site: Wilmington, DE
| | |
