| 20-02436 | 02/12/2021 | Claimant(s): Jason Feldman
Claimant Lawyers(s): Amy B. Bard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
| | $0 |
| 16-02549 | 02/12/2021 | Claimant(s): Guillermo Lopez Perez
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): OFS Securities., Oriental Financial Services Corp.
Respondent Lawyers(s): Pedro Hernandez-Freire
Arbitrator(s): John G. Sciandra, Robert Sullivan Tyler, Erika Deutsch Rotbart
Hearing Site: San Juan, PR
|  | $240,000 |
| 18-02661 | 02/12/2021 | Claimant(s): Louis Maryland, Louis Maryland Trust Estate, Louis Maryland Sec. 142 Trust
Claimant Lawyers(s): Craig K. Hemphill
Respondent(s): Julia Klammer, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Evan Way
Arbitrator(s): Daniel J. Pagnano, William Walter Cathriner, Tracie Jackson
Hearing Site: Houston, TX
| | $0 |
| 18-02717 | 02/12/2021 | Claimant(s): Clifford Deeds
Claimant Lawyers(s): David Liebrader
Respondent(s): Duane Becker
Respondent Lawyers(s): Duane Ray Becker
Arbitrator(s): I Douglas Dunipace, Michael Kelley, David S. Eisenberg
Hearing Site: Phoenix, AZ
| | $143,598 |
| 20-01772 | 02/11/2021 | Claimant(s): Anil Jethmal
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Veronica Ann Williams
Hearing Site: New York, NY
| | $0 |
| 20-02163 | 02/11/2021 | Claimant(s): Scott Smith
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Steven H. Vogel
Hearing Site: Chicago, IL
| | $0 |
| 20-02491 | 02/11/2021 | Claimant(s): Stephen Ledyard
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
| | $0 |
| 20-02622 | 02/11/2021 | Claimant(s): James Goodland
Claimant Lawyers(s): Brian Luther
Respondent(s): Cambridge Investment Research., Spire Securities
Respondent Lawyers(s): Max Schatzow, Richard H. Kuhlman
Arbitrator(s): Gregory G. Gocek
Hearing Site: Minneapolis, MN
| | $0 |
| 20-00701 | 02/10/2021 | Claimant(s): Sheila Shaffer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Legg Mason Wood Walker
Respondent Lawyers(s): Rosemary Francavilla
Arbitrator(s): Kelli J. Jareaux
Hearing Site: Washington, DC
| | $0 |
| 20-01102 | 02/10/2021 | Claimant(s): James Kirwan
Claimant Lawyers(s): Harris Freedman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | $0 |
