| 21-01534 | 05/18/2023 | Claimant(s): Raymond Potter
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Leslie Ruth Nydick, Thomas M. Madden, Rick Rutman
Hearing Site: New York, NY
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| 18-03981 | 05/17/2022 | Claimant(s): Anthony Dertouzos
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): David Carroll, David Kowach, Wells Fargo Advisors, Wells Fargo Clearing Services, Mary Mack
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Emad A. Zikry, James M. Rhodes, David John Reilly
Hearing Site: New York, NY
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| 18-01151 | 01/23/2020 | Claimant(s): Garett Ceraso
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Joseph R. Brancaleone, Martin L. Feinberg, Susan Manca
Hearing Site: New York, NY
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| 18-03439 | 06/14/2019 | Claimant(s): James Steele
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Cynthia A. DiMarco, Mark J. Russell, Brian John Gallagher
Hearing Site: New York, NY
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| 13-02432 | 03/09/2016 | Claimant(s): Brian Melbourne, Brian Shepherd
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joe Gehring
Arbitrator(s): Edward W. Morris, Carol Maria Luttati, Jon Martino
Hearing Site: New York, NY
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| 14-01020 | 04/10/2015 | Claimant(s): Susan Landolt
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): UBS Financial Services Inc., Ronald Ferrelli
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Martin H. Zern, Samuel Joseph Gottlieb, Kevin P. Feerick
Hearing Site: New York, NY
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| 08-00680 | 10/04/2013 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Gill
Respondent Lawyers(s): Kevin T. Hoffman
Arbitrator(s): Robert H. Hughes, Margaret Hotopp, Eileen Devaney Leo
Hearing Site: Hartford, CT
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| 10-01021 | 03/06/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): James Kingsbury
Respondent Lawyers(s): Kevin T. Hoffman
Arbitrator(s): Romaine L. Gardner, Jack Friedman, Christine Costigan
Hearing Site: New York, NY
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| 07-00922 | 10/21/2008 | Claimant(s): Chatsworth Securities
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): The GMS Group
Respondent Lawyers(s): Robin C. Tarr
Arbitrator(s): Barry Quint, William E.S. Browning, Kelly M. Lonergan
Hearing Site: Hartford, CT
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