| 18-03984 | 12/04/2020 | Claimant(s): Larry Schmalz, Robin Schmalz
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): David Spratt, Joseph Amato, Kujtim Lulani, Michael Castillero, Rocco Guidicipietro, Thomas Sullivan, Alexander Capital, L.P.
Respondent Lawyers(s): Lawrence R. Gelber, Scott Holcomb
Arbitrator(s): Royce Russell, Gerald M. Levine, Peter E. Gillespie
Hearing Site: New York, NY
|  | $0 |
| 20-01510 | 12/04/2020 | Claimant(s): Betty Flynn, Ronald Flynn
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Julius Z. Frager
Hearing Site: St. Louis, MO
| | $0 |
| 20-00463 | 12/03/2020 | Claimant(s): Andrew Bodner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Linda J. Baer
Hearing Site: Jersey City, NJ
| | $0 |
| 20-00776 | 12/03/2020 | Claimant(s): Christopher Jacob
Claimant Lawyers(s): Brian Luther
Respondent(s): First Heartland Capital., Transamerica Financial Advisors
Respondent Lawyers(s): Jeanne A. Jehle, Susan D. Duff
Arbitrator(s): Robert J. Gryzmala
Hearing Site: St. Louis, MO
| | $0 |
| 20-01476 | 12/03/2020 | Claimant(s): Kevin Wolf
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Leslie L. Cooney
Hearing Site: Boca Raton, FL
| | $0 |
| 20-01514 | 12/03/2020 | Claimant(s): Sandeep Varma
Claimant Lawyers(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Randy R. Maher
Hearing Site: San Diego, CA
| | $0 |
| 19-00567 | 12/03/2020 | Claimant(s): Peter Radle
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): Mark Kemp, National Planning Corporation
Respondent Lawyers(s): Kate E. DiGeronimo
Arbitrator(s): Gordon M. Wase, Thomas Warfield Harrity, Douglas Cheston Berlin
Hearing Site: Philadelphia, PA
| | $0 |
| 20-01976 | 12/03/2020 | Claimant(s): Jeffrey Blenkarn
Claimant Lawyers(s): Daniel Broxup
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Bruce W. Barnes
Arbitrator(s): Michael John Falvo
Hearing Site: Detroit, MI
| | $300 |
| 20-00846 | 12/02/2020 | Claimant(s): Sharon Meyer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Kelli J. Jareaux
Hearing Site: Washington, DC
| | $0 |
| 20-00943 | 12/02/2020 | Claimant(s): Elliot Sherer
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Timothy Treble
Arbitrator(s): A. Rene Hollyer
Hearing Site: New York, NY
| | $0 |
