| 20-03225 | 02/26/2021 | Claimant(s): Joseph Mackey
Claimant Lawyers(s): Sarah K. Yates
Respondent(s): Cambridge Investment Research., MKD Wealth Coaches
Respondent Lawyers(s): Richard H. Kuhlman, Tim Mrock
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
| | |
| 20-03273 | 02/26/2021 | Claimant(s): NYLife Securities LLC, New York Life Insurance Company
Claimant Lawyers(s): Richard F. Lubarsky
Respondent(s): Gina Adly
Respondent Lawyers(s): Gina Adly
Arbitrator(s): John Richard Lynch
Hearing Site: Boca Raton, FL
| | |
| 19-02953 | 02/26/2021 | Claimant(s): Madeleine Porcelli
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Mary P. Bass, Robert E. Riccobono, Lawrence Williams
Hearing Site: New York, NY
|  | $0 |
| 20-01540 | 02/26/2021 | Claimant(s): Alison Hawk, Robert Hawk
Claimant Lawyers(s): Robert Frank Hawk
Respondent(s): David Miller, Eric Burnette, Shelley Eddy, Peachcap Securities.
Respondent Lawyers(s): Craig R. Glasser
Arbitrator(s): Richard Jonathan Nikonovich-Kahn
Hearing Site: Atlanta, GA
| | $300 |
| 19-00339 | 02/25/2021 | Claimant(s): Michelle Marquez
Claimant Lawyers(s): Philip M. Aidikoff
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | |
| 19-01058 | 02/25/2021 | Claimant(s): Randee Paston
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Emily L. Milligan
Arbitrator(s): Joan Maxine Secofsky, Roberta Wolf, Paula Ellen Berg
Hearing Site: New York, NY
| | |
| 20-02760 | 02/25/2021 | Claimant(s): Robert Smith
Claimant Lawyers(s): Sarah K. Yates
Respondent(s): BBVA Securities.
Respondent Lawyers(s): David S. Neel, Jr.
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Birmingham, AL
| | |
| 20-03711 | 02/25/2021 | Claimant(s): Darcy Christopherson
Claimant Lawyers(s): Darcy Christopherson
Respondent(s): G1 Execution Services, GTS Securities LLC
Respondent Lawyers(s): John C. Pickford, Paul McCurdy
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
| | $300 |
| 19-03171 | 02/24/2021 | Claimant(s): Scott Eichel
Claimant Lawyers(s): Todd A. Gutfleisch
Respondent(s): NatWest Markets Securities Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Michael Jaffe, John K. Evans, Wallace Anthony Showman
Hearing Site: New York, NY
| | |
| 20-00491 | 02/24/2021 | Claimant(s): Gerard Taylor
Claimant Lawyers(s): Michael Bessette
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
| | |
