| 20-02723 | 06/09/2021 | Claimant(s): Joshua Klump
Claimant Lawyers(s): Harris Freedman
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Samuel Gilley
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
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| 20-01981 | 03/12/2021 | Claimant(s): Andrew Lerner
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Justin D. Dickinson
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
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| 20-00955 | 10/27/2020 | Claimant(s): Juan Carlos Freile Franco
Claimant Lawyers(s): Coren H. Stern
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Omari L. Mason
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
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| 20-00446 | 07/23/2020 | Claimant(s): Michael Kelleher, Peter Caruso
Claimant Lawyers(s): Nisha S. Wright
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Carl Shechter, Robert G. Falbisaner, Robert John Harvey
Hearing Site: Boca Raton, FL
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| 19-00645 | 12/27/2019 | Claimant(s): Gustavo Carvajal
Claimant Lawyers(s): Josef Y. Rosen
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
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| 19-00324 | 10/02/2019 | Claimant(s): Christopher Nichols
Claimant Lawyers(s): Matthew E. Wolper
Respondent(s): LPL Financial LLC, Lincoln Financial Securities Corporation
Respondent Lawyers(s): Jon D. Kaplon, Michael W. Arnold
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
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| 19-00019 | 09/10/2019 | Claimant(s): Francesco Traina
Claimant Lawyers(s): Michelle M. Atlas
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
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| 18-04306 | 07/17/2019 | Claimant(s): Richard Kiesel
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Securities America., Kestra Investment Services
Respondent Lawyers(s): David J. Lehr, Tyler Schubauer
Arbitrator(s): Mark C. Perry, Steven M. Greenbaum, Carl Shechter
Hearing Site: Boca Raton, FL
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| 18-03591 | 04/02/2019 | Claimant(s): Mark Miller
Claimant Lawyers(s): John D. Stewart
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
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| 18-03064 | 02/27/2019 | Claimant(s): Riad Shanawany
Claimant Lawyers(s): Eric Litow
Respondent(s): Windsor Street Capital
Respondent Lawyers(s): John W. Stalanski
Arbitrator(s): Carl Shechter
Hearing Site: Boca Raton, FL
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