| 20-02456 | 02/17/2021 | Claimant(s): Steven Quinly
Claimant Lawyers(s): Robert L Gonser
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
| | $0 |
| 19-02519 | 02/17/2021 | Claimant(s): Teri Goettsche, Teri Goettsche IRA, The Gunter Trust
Claimant Lawyers(s): Richard Lewins
Respondent(s): Robert Messett
Respondent Lawyers(s): Jon M. Stanfield
Arbitrator(s): Nicole T. LeBoeuf, Robert L. Chisolm, Staci Lynette Glenn
Hearing Site: Dallas, TX
|  | $0 |
| 20-01573 | 02/16/2021 | Claimant(s): Tuan Phan
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Josian Antoine
Hearing Site: New York, NY
| | $0 |
| 20-02133 | 02/16/2021 | Claimant(s): Richard Pierce
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Mark A. Sipper
Hearing Site: Columbus, OH
| | $0 |
| 20-02379 | 02/16/2021 | Claimant(s): Matthew Mason
Claimant Lawyers(s): Stephan Louviere
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
| | $0 |
| 20-01985 | 02/16/2021 | Claimant(s): Harry Appleby
Claimant Lawyers(s): Harry E. Appleby
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Joseph M. Rebein, Sherry L. Robinson, Karen Roberts Washington
Hearing Site: Kansas City, MO
| | $0 |
| 20-02531 | 02/15/2021 | Claimant(s): Sarah Hussey
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Helena, MT
| | $0 |
| 20-01624 | 02/12/2021 | Claimant(s): David Ellowitch
Claimant Lawyers(s): Paula D. Shaffner
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Michael W. Arnold
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | $0 |
| 20-01644 | 02/12/2021 | Claimant(s): Gisselle Mata
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dulap
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
| | $0 |
| 20-01699 | 02/12/2021 | Claimant(s): Ameriprise Financial Services
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Leslie Markus
Respondent Lawyers(s): Leslie George Markus
Arbitrator(s): Edward T. Borer, Mark H. Stein, Larry Cheskawich
Hearing Site: Philadelphia, PA
| | $0 |
