| 20-01153 | 12/17/2020 | Claimant(s): Ricky Higgins
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Heartland Capital., Proequities.
Respondent Lawyers(s): Jeanne A. Jehle, Katie M. Kimbrell
Arbitrator(s): Richard S. Zaifert
Hearing Site: Columbia, SC
| | $0 |
| 20-01348 | 12/17/2020 | Claimant(s): Andrew Butler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Woodbury Financial Services., Next Financial Group.
Respondent Lawyers(s): James V. Noblett, John T. Unger, Kelsey Vasko
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
| | $0 |
| 20-01493 | 12/17/2020 | Claimant(s): Dennis Hall
Claimant Lawyers(s): Susan M. Kelleher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Linda J. Baer
Hearing Site: Jersey City, NJ
| | $0 |
| 20-01608 | 12/17/2020 | Claimant(s): James Springer
Claimant Lawyers(s): Nisha S. Wright
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Robert S. Natiss, Kimberly A. Gilmour, Marie G. Peterson
Hearing Site: Boca Raton, FL
| | $0 |
| 20-01697 | 12/17/2020 | Claimant(s): Chander Goel
Claimant Lawyers(s): Richard D. DeVita
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard Lubarsky
Arbitrator(s): Jill Pilgrim
Hearing Site: New York, NY
| | $0 |
| 20-01151 | 12/16/2020 | Claimant(s): Daniel Wohl
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Booker T. Coleman
Arbitrator(s): Erane C. Washington-Kendrick
Hearing Site: Detroit, MI
| | $0 |
| 20-01215 | 12/16/2020 | Claimant(s): Michael Schwartz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
| | $0 |
| 20-02032 | 12/16/2020 | Claimant(s): Donald Jankowski
Claimant Lawyers(s): Andre R. Perron
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Thomas J. Patka
Hearing Site: Tampa, FL
| | $0 |
| 20-02265 | 12/16/2020 | Claimant(s): Michael Marshall
Claimant Lawyers(s): James P. Galvin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Thomas E Shuck
Hearing Site: Phoenix, AZ
| | $0 |
| 20-02419 | 12/16/2020 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): William H. Edmonson
Respondent(s): Margarita Medina
Respondent Lawyers(s): Margarita Medina
Arbitrator(s): Charles Chia-Lin Hsieh
Hearing Site: San Diego, CA
| | $0 |
