| 20-01911 | 03/10/2021 | Claimant(s): Lucas Tiettmeyer
Claimant Lawyers(s): Lucas Tiettmeyer
Respondent(s): Ally Invest Securities.
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Cincinnati, OH
|  | $0 |
| 20-02210 | 03/10/2021 | Claimant(s): Beverly Ketel
Claimant Lawyers(s): Beverly Marie Ketel
Respondent(s): Citizens Securities.
Respondent Lawyers(s): William K. Wray
Arbitrator(s): Patricia Gatto Hechavarria
Hearing Site: Manchester, NH
| | Expungement |
| 20-01516 | 03/09/2021 | Claimant(s): John Glenn
Claimant Lawyers(s): Zachary T Hayes-Macaluso
Respondent(s): United Planners' Financial Services Of A
Respondent Lawyers(s): David B. Hauer
Arbitrator(s): Sally G. Williams
Hearing Site: San Diego, CA
| | |
| 20-01824 | 03/09/2021 | Claimant(s): John Boukamp
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Krista L. Elsasser
Arbitrator(s): Kevin R. Zehe
Hearing Site: Detroit, MI
| | |
| 20-01887 | 03/09/2021 | Claimant(s): Alexandre Braune
Claimant Lawyers(s): Harris Freedman
Respondent(s): Brickell Global Markets.
Respondent Lawyers(s): Christian R. Batalha
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
| | |
| 20-02248 | 03/09/2021 | Claimant(s): Karen Vargas
Claimant Lawyers(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey Medina Velez
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
| | |
| 20-02770 | 03/09/2021 | Claimant(s): Jason Plemons
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): Robert M Stein
Hearing Site: Seattle, WA
| | |
| 20-02869 | 03/09/2021 | Claimant(s): Daniel Uribe
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
| | |
| 20-03267 | 03/09/2021 | Claimant(s): Adam Yarnold
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY
| | |
| 19-00007 | 03/09/2021 | Claimant(s): Susan Cable, Estate of Graham M. Polonsky
Claimant Lawyers(s): Alexander Aron Flig
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Samuel H. Chorches, Robert E. Anderson, Denise L. Presley
Hearing Site: Boston, MA
| | $0 |
