| 20-01436 | 11/27/2020 | Claimant(s): Elliot Ichinose
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Judy Louie
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
| | $0 |
| 20-01691 | 11/27/2020 | Claimant(s): Voya Financial Advisors.
Claimant Lawyers(s): Brian J Palmeri
Respondent(s): John Arnold
Respondent Lawyers(s): John Richard Arnold
Arbitrator(s): Bert P. Krages
Hearing Site: Seattle, WA
| | $0 |
| 20-02065 | 11/27/2020 | Claimant(s): John Morris
Claimant Lawyers(s): Melissa J. Gworek
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Linda J. Baer
Hearing Site: Newark, NJ
| | $0 |
| 20-02552 | 11/27/2020 | Claimant(s): Ettore Ventrice, Noah Rubin
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
| | $0 |
| 20-00726 | 11/25/2020 | Claimant(s): Russell Strickler
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Geoffrey W. Millsom
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
| | $0 |
| 20-01662 | 11/25/2020 | Claimant(s): Michael Schumacher
Claimant Lawyers(s): Christopher R. Sall
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
| | $0 |
| 20-01670 | 11/25/2020 | Claimant(s): Yan Binder
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Nicola Anne Murphy
Arbitrator(s): Richard W. Cutler, Ellen Slipp, John Franklin Udochi
Hearing Site: New York, NY
| | $0 |
| 20-01872 | 11/25/2020 | Claimant(s): David Maher
Claimant Lawyers(s): David Joseph Maher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Julius Z. Frager
Hearing Site: Montpelier, VT
| | $0 |
| 17-02211 | 11/25/2020 | Claimant(s): The Braeside Foundation
Claimant Lawyers(s): Jacob Kahn
Respondent(s): Carl Birkelbach, Nicholas Avello, Forest Securities.
Respondent Lawyers(s): Christopher Wurtzinger, James J. Moylan, Nicholas Thomas Avello
Arbitrator(s): Larry Evert Carlson, Thomas F. Ryan, Philip J. Glick
Hearing Site: Chicago, IL
|  | $405,000 |
| 18-02740 | 11/25/2020 | Claimant(s): Finitive LLC, North Capital Private Securities Corpora
Claimant Lawyers(s): Martin H. Kaplan
Respondent(s): CleanCapital LLC, Jon Barlow Advisory LLC
Respondent Lawyers(s): Kimberly A. Havlin, Martin H. Kaplan
Arbitrator(s): Michael J. Maran, Camille S. Cooper, Ronald Harris Kisner
Hearing Site: New York, NY
| | $0 |
