| 20-01867 | 01/25/2021 | Claimant(s): Joseph Young
Claimant Lawyers(s): Brian Luther
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): A.J. Seier
Hearing Site: Memphis, TN
| | $0 |
| 20-01980 | 01/25/2021 | Claimant(s): Paul Barry
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Manchester, NH
| | $0 |
| 20-02191 | 01/25/2021 | Claimant(s): David Stokes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): David A. Schuler
Hearing Site: New Orleans, LA
| | $0 |
| 20-02264 | 01/25/2021 | Claimant(s): Angel Canabal
Claimant Lawyers(s): Sonia M. Lopez del Valle
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina-Velez
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
| | $0 |
| 20-02442 | 01/25/2021 | Claimant(s): Equitable Advisors, Equitable Network
Claimant Lawyers(s): Raha Assadi
Respondent(s): Thomas Rohan
Respondent Lawyers(s): Thomas Patrick Rohan
Arbitrator(s): Robert J. Scafuri
Hearing Site: Buffalo, NY
| | $0 |
| 20-02490 | 01/25/2021 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Nicola A. Murphy
Respondent(s): Warren Rowe
Respondent Lawyers(s): Warren Ellwood Rowe
Arbitrator(s): Christopher M. McMurray
Hearing Site: Richmond, VA
| | $0 |
| 19-03321 | 01/25/2021 | Claimant(s): John Holborn
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): David Shapiro, CNL Securities Corp., Cadaret, Grant & Co..
Respondent Lawyers(s): David G. Buffa, Jonathan E. Green
Arbitrator(s): Tracy L. Allen, Kathleen P. Helbig-Hannan, Gerald Grace
Hearing Site: Buffalo, NY
|  | $0 |
| 19-02481 | 01/22/2021 | Claimant(s): Salvatore Mansueto
Claimant Lawyers(s): Jeremy L. Bartell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Jeffrey P. Petrucelly, Gene M. Bauer, Tristan Nicholas Ostronic
Hearing Site: Boston, MA
| | $0 |
| 19-03675 | 01/22/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Michael Martinez
Respondent Lawyers(s): Michael Anthony Martinez
Arbitrator(s): Mark T Risner
Hearing Site: Los Angeles, CA
| | $0 |
| 20-01860 | 01/22/2021 | Claimant(s): Thomas West
Claimant Lawyers(s): Keith J. Barnett
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): David Edward Upton, Glenn H. Catalano, Tina E. Patterson
Hearing Site: Richmond, VA
| | $0 |
