| 20-03415 | 03/04/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): John W. Joyce
Respondent(s): Jameile Cawley
Respondent Lawyers(s): Jameile D. Cawley
Arbitrator(s): B. John Dill
Hearing Site: Boston, MA
| | $0 |
| 19-02741 | 03/04/2021 | Claimant(s): Jonathan Siegel
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Edith N. Dinneen, Kenneth M. Weinman, Michael John Florio
Hearing Site: Los Angeles, CA
|  | $0 |
| 20-01187 | 03/04/2021 | Claimant(s): Therese Fleming, Therese Fleming IRA
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Linda Broocks
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
| | $0 |
| 19-01172 | 03/04/2021 | Claimant(s): Shirley Cummings
Claimant Lawyers(s): Eric Liebman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Michael F. Jordan, Steven Meyrich, Barry A. Fisher
Hearing Site: Denver, CO
| | $0 |
| 19-01670 | 03/03/2021 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin MacAvoy
Respondent(s): Mildred Patubo
Respondent Lawyers(s): Benjamin Winograd
Arbitrator(s): Dennis Markham Smith, Alden Sharp Adkins, Eduardo Barocio
Hearing Site: San Francisco, CA
| | $0 |
| 19-03719 | 03/03/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Tracey Salmon-Smith
Respondent(s): Mark Boccuzzi
Respondent Lawyers(s): Jeremy L. Bartell
Arbitrator(s): David S. Billet, Charles L. Henderson, Joseph I. Liebman
Hearing Site: New York, NY
| | $0 |
| 20-02335 | 03/03/2021 | Claimant(s): Bernard Breton
Claimant Lawyers(s): Michael Nagy
Respondent(s): Cetera Advisors
Respondent Lawyers(s): David Feldstein
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
| | $0 |
| 20-02747 | 03/03/2021 | Claimant(s): Charles Sleezer
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | $0 |
| 17-01065 | 03/03/2021 | Claimant(s): Edwina Downum, Patty Berryhill, Winn King
Claimant Lawyers(s): Micah Satterwhite
Respondent(s): Nancy De Leeuw, Perry De Leeuw
Respondent Lawyers(s): Nancy Elaine De Leeuw, Perry De Leeuw
Arbitrator(s): Ann Blaess Kimball, Edward S. Koppman, Joseph Neal Richardson
Hearing Site: Dallas, TX
| | $0 |
| 20-00778 | 03/02/2021 | Claimant(s): Christopher Jacob
Claimant Lawyers(s): Brian Luther
Respondent(s): Madison Avenue Securities
Respondent Lawyers(s): Christina Vourakis
Arbitrator(s): Robert J. Gryzmala
Hearing Site: St. Louis, MO
| | $0 |
