| 24-01375 | 10/28/2024 | Claimant(s): Citizens Securities.
Claimant Lawyers(s): Stuart D. Roberts
Respondent(s): Richard Trotta
Respondent Lawyers(s): Richard Louis Trotta
Arbitrator(s): John B. Taulane
Hearing Site: Philadelphia, PA
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| 23-00005 | 10/04/2024 | Claimant(s): Harry Pappas
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Casey Middleton, Wells Fargo Clearing Services
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): William Kent Brown, David Robert Coughlin, Jeff Cappelletti
Hearing Site: Boca Raton, FL
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| 20-02486 | 04/26/2024 | Claimant(s): Rebecca Timmerman, Sherry Baker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): David E. Crawford
Hearing Site: St. Louis, MO
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| 23-02033 | 11/17/2023 | Claimant(s): Charles Reimer
Claimant Lawyers(s): James P. Galvin
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Thomas E Kopil, Arthur Traldi, Michael Daniel Lamm
Hearing Site: Philadelphia, PA
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| 23-00488 | 10/17/2023 | Claimant(s): David Carlor
Claimant Lawyers(s): David Carlor
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Ernest Edward Badway, Loretta Yin, Richard H Leitman
Hearing Site: Jersey City, NJ
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| 22-00949 | 08/07/2023 | Claimant(s): Sean Caplen
Claimant Lawyers(s): Harris Freedman
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 22-00465 | 02/02/2023 | Claimant(s): Jennifer Johnston
Claimant Lawyers(s): Harris Freedman
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Shawn Ridgell
Hearing Site: San Francisco, CA
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| 22-00036 | 10/25/2022 | Claimant(s): Justin Neubauer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Richard Gee
Hearing Site: New York, NY
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| 21-01661 | 10/13/2022 | Claimant(s): Joseph Pietrykowski
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Richard W. Cutler, Linda Ashley, Jerome Francis Cangialosi
Hearing Site: New York, NY
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| 21-01005 | 06/10/2022 | Claimant(s): Achilleas Psihudakis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Josian Antoine
Hearing Site: New York, NY
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