| 23-01417 | 11/21/2023 | Claimant(s): Charles Natt
Claimant Lawyers(s): Adam Kauff
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alexandros Diplas
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
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| 23-01147 | 11/08/2023 | Claimant(s): Ryan Wroblewski
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
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| 23-00715 | 08/16/2023 | Claimant(s): Hector Gongora
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Byron Crowe
Arbitrator(s): Anthony Marchese, Susan C Lushing, Evdokia Sofos
Hearing Site: New York, NY
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| 22-02915 | 08/11/2023 | Claimant(s): Joshua Lercher
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
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| 19-03501 | 02/17/2022 | Claimant(s): J.P. Morgan Securities
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Harris Chan, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Louis M. Lagalante, Maria V. Martin
Arbitrator(s): Susan C Lushing, Blueth Bromfield, Michael A Pickholz
Hearing Site: New York, NY
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| 21-01124 | 12/30/2021 | Claimant(s): Dao Phan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): WMA Securities.
Respondent Lawyers(s): Clive Slovin
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
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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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| 20-02545 | 04/14/2021 | Claimant(s): John Caroli
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
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| 18-03924 | 02/07/2020 | Claimant(s): Hayes Miller
Claimant Lawyers(s): Gregg J. Breitbart
Respondent(s): Morgan Stanley, Stephens
Respondent Lawyers(s): Jana Kim Fowler, Joseph A. Sack
Arbitrator(s): Susan C Lushing, Josian Antoine, Patricia A Hussey
Hearing Site: New York, NY
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| 18-02246 | 01/06/2020 | Claimant(s): Kevin Yang
Claimant Lawyers(s): David E. Robbins
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Scarlett L. Freeman
Arbitrator(s): Susan C Lushing
Hearing Site: New York, NY
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