| 23-01662 | 08/15/2024 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Anthony Paul, Nicholas Hamilton
Respondent Lawyers(s): Kevin D. Galbraith
Arbitrator(s): Joseph M. Costello, Michael J Norton, Rick Gale Doty
Hearing Site: Denver, CO
| | |
| 23-02406 | 02/15/2024 | Claimant(s): Jeanmarie LaBonte
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Briana Al Taqatqa
Arbitrator(s): Ronald Chun
Hearing Site: San Francisco, CA
| | |
| 23-01403 | 01/08/2024 | Claimant(s): Brian Griffin
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Michael Rowe
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Buffalo, NY
| | |
| 22-01442 | 04/14/2023 | Claimant(s): James Malloch
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Jeanette E. Dennis
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
| | |
| 18-01448 | 08/11/2021 | Claimant(s): Patrick Mullen
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): Key Investment Services LLC
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Elliot B. Platt, Diane Ciccone, Christopher Robert Madel
Hearing Site: Philadelphia, PA
| | |
| 17-02796 | 04/03/2019 | Claimant(s): Mark Connelly
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): Clsa Americas
Respondent Lawyers(s): Barbara M. Roth
Arbitrator(s): Philip M. Mandel, Pamela H. Roderick, Martin L. Feinberg
Hearing Site: New York, NY
| | |
| 17-02787 | 01/15/2019 | Claimant(s): David Lipschitz
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): CLSA Americas
Respondent Lawyers(s): Barbara M. Roth
Arbitrator(s): Joseph N. Stineman, Edward W. Morris, Susan Romano
Hearing Site: New York, NY
| | |
| 16-01029 | 03/09/2017 | Claimant(s): Zachary Hepner
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): Chimera Securities
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Stephen A. Weiner
Hearing Site: New York, NY
| | |
| 14-01245 | 06/03/2015 | Claimant(s): Christopher Mctammany, Noel Thompson
Claimant Lawyers(s): Terrence J. Gallagher
Respondent(s): Brenda Smith, Dean Barr, Joseph Meehan, Tom Ward, CV Brokerage, Foundation Capital Partners (U.S.) L.P., Foundation Capital Partners L.P., Foundation Capital Partners Greenwich LP, Foundation Capital Partners Inc., Foundation Capital Partners Intermediate
Respondent Lawyers(s): Kevin D. Galbraith, Sean R. O'Brien
Arbitrator(s): Martin H. Zern, Keely D. Parr, Robert J. Miller
Hearing Site: New York, NY
| | |
| 12-04269 | 07/15/2013 | Claimant(s): John Garvey
Claimant Lawyers(s): Christina R. LoConte
Respondent(s): Bradford Bono
Respondent Lawyers(s): Kevin D. Galbraith
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | Expungement |
