| 22-00828 | 12/07/2022 | Claimant(s): Richard Whalen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Carrington Investment Services
Respondent Lawyers(s): Karl E. May
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
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| 22-02135 | 12/05/2022 | Claimant(s): Harrison Hoyes
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charlotte S. Wolfe
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
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| 22-00585 | 09/26/2022 | Claimant(s): Keith Steidle
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment Services
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
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| 21-02840 | 07/01/2022 | Claimant(s): Stephen Barry
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Annamaria Boccia Smith, David Stein, Peter Whittingham
Hearing Site: New York, NY
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| 21-02134 | 04/14/2022 | Claimant(s): Timothy Lyons
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): JPMSI
Respondent Lawyers(s): Corporate Office
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
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| 21-01636 | 03/08/2022 | Claimant(s): James Dy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
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| 21-00899 | 10/12/2021 | Claimant(s): Mark Scordato
Claimant Lawyers(s): Kimberly A. Koves
Respondent(s): G.F. Investment Services
Respondent Lawyers(s): Larry Yager
Arbitrator(s): Louis H Miron, Linda T. Pellegrino, Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
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| 21-00720 | 10/07/2021 | Claimant(s): Tomoe Odahara
Claimant Lawyers(s): Jordan D. Becker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Susan C Lushing, Annamaria Boccia Smith, Mark Peter Haslinger
Hearing Site: New York, NY
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| 20-03119 | 09/16/2021 | Claimant(s): Michael Fasciglione
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): National Securities Corporation, First Montauk Securities Corp.
Respondent Lawyers(s): Emily A. Hayes, Robert I. Rabinowitz
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
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| 20-03879 | 07/20/2021 | Claimant(s): Ana Pazmino
Claimant Lawyers(s): Darryl J. Bouganim
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Paul K. Barenholtz, Annamaria Boccia Smith, Edward W. Morris
Hearing Site: New York, NY
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