| 18-02235 | 12/21/2020 | Claimant(s): Carlos Scarano Garcia
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin, Peter Fruin, Roberto C. Quinones
Arbitrator(s): Richard Carl Smukler, Basheera-Alia James, Robert Stewart Barney
Hearing Site: San Juan, PR
|  | $0 |
| 19-02879 | 12/18/2020 | Claimant(s): Tracy Ellis
Claimant Lawyers(s): Samuel Wilson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Heather Z. Steele
Arbitrator(s): Mary L. Sims, Mark H. Stein, Rachael Luken Carp
Hearing Site: Philadelphia, PA
| | $0 |
| 20-01273 | 12/18/2020 | Claimant(s): PHILIP JORDAN
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
| | $0 |
| 20-01336 | 12/18/2020 | Claimant(s): Kassie Soulek
Claimant Lawyers(s): Brian Luther
Respondent(s): SII Investments.
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Milwaukee, WI
| | $0 |
| 19-01255 | 12/18/2020 | Claimant(s): Lorraine Bateh Meide, Phillip G. Meide
Claimant Lawyers(s): Charles A. Sorenson
Respondent(s): Morgan Stanley, Neil Powell
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Kenneth J. Bennett, Cindy L. Anderson, Darryl C. Wilson
Hearing Site: Jacksonville, FL
| | $0 |
| 19-03441 | 12/18/2020 | Claimant(s): John Miller
Claimant Lawyers(s): Andrew J. Rodgers
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Leona Beane, Amy Jill Baranoff, Patricia Kathleen Costello
Hearing Site: New York, NY
| | $0 |
| 19-02723 | 12/17/2020 | Claimant(s): Keith Goggin
Claimant Lawyers(s): Stephen J. Nelson
Respondent(s): James Durkin, Integral Derivatives
Respondent Lawyers(s): Gary M. Miller, Todd C. Jacobs
Arbitrator(s): Paul C. Tang, Kathleen Cawley, John Michael Richardson
Hearing Site: New York, NY
| | $0 |
| 19-03309 | 12/17/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Craig Stein
Respondent(s): James Steigerwald
Respondent Lawyers(s): Richard L. Richards
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | $0 |
| 19-03651 | 12/17/2020 | Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Simon M. Levy
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $0 |
| 20-01015 | 12/17/2020 | Claimant(s): Richard Braverman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation, Geneos Wealth Management.
Respondent Lawyers(s): James Noblett, Victoria H. Buter
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
| | $0 |
