| 19-03029 | 10/28/2020 | Claimant(s): Nicholas Tsikitas
Claimant Lawyers(s): Irwin Weltz
Respondent(s): J.D. Nicholas & Associates., Trident Partners Ltd.
Respondent Lawyers(s): James Dolan, Nicholas Scavone
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
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| 19-01374 | 03/26/2020 | Claimant(s): Kirk Katzburg
Claimant Lawyers(s): Richard Herzfeld
Respondent(s): David Braunlich, DLB Securities L.L.C.
Respondent Lawyers(s): David Lonsdale Braunlich
Arbitrator(s): Paul S. Biederman, Ellyn S. Roth, William Arthur Ginty
Hearing Site: New York, NY
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| 19-01133 | 03/12/2020 | Claimant(s): David Eller
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
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| 19-01806 | 03/06/2020 | Claimant(s): Steven Southworth
Claimant Lawyers(s): Frances Menzer
Respondent(s): Cowen and Company
Respondent Lawyers(s): Steven Cohen
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
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| 19-00799 | 12/16/2019 | Claimant(s): Mark Johnson
Claimant Lawyers(s): Linda D. Friedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
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| 17-01654 | 07/08/2019 | Claimant(s): Maria DeGennaro
Claimant Lawyers(s): Kristen N. Sinnott
Respondent(s): Brian Vail
Respondent Lawyers(s): Steven E. Losquadro
Arbitrator(s): Ellyn S. Roth, Mariane A. Liebowitz, John D. Nagy
Hearing Site: New York, NY
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| 18-00445 | 06/10/2019 | Claimant(s): Susan Radinsky
Claimant Lawyers(s): Susan Jill Radinsky
Respondent(s): Clint Hurst, J.P. Morgan Securities, Kim Melbourne, Luanne D'Angelo
Respondent Lawyers(s): Dolores P. Garcia
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
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| 16-03464 | 09/21/2018 | Claimant(s): Bart Tarulli
Claimant Lawyers(s): Bart Tarulli
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Sydney H. Crowder
Arbitrator(s): Jean C. Black, Ellyn S. Roth, Albert Rizzo
Hearing Site: New York, NY
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| 18-00473 | 08/31/2018 | Claimant(s): David Christensen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
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| 17-01806 | 08/23/2018 | Claimant(s): Gopal Tampi
Claimant Lawyers(s): Daniel J Kaiser
Respondent(s): Nomura Securities International.
Respondent Lawyers(s): Joel A. Chernov
Arbitrator(s): Leonard M. Bakal, Linda Ashley, Ellyn S. Roth
Hearing Site: New York, NY
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