| 19-01403 | 08/16/2021 | Claimant(s): Katalyst Securities LLC
Claimant Lawyers(s): Adam B. Oppenheim
Respondent(s): Marker Therapeutics.
Respondent Lawyers(s): Eric A. Kuwana
Arbitrator(s): John F. Duane, Robert E. Anderson, David Stein
Hearing Site: New York, NY
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| 20-02064 | 03/08/2021 | Claimant(s): David Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Jeff Palmer
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
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| 20-00501 | 03/01/2021 | Claimant(s): Todd Cirella
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Laidlaw & Company (UK) Ltd.
Respondent Lawyers(s): Charles Smulevitz
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
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| 18-00504 | 06/07/2019 | Claimant(s): Robert Traenkle
Claimant Lawyers(s): Adam B. Oppenheim
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): David S. Paul, John F. Duane, James Bromley Bragg
Hearing Site: New York, NY
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| 17-01017 | 09/01/2017 | Claimant(s): The Vertical Group
Claimant Lawyers(s): Robert Schaffer
Respondent(s): Raphael Hochberg
Respondent Lawyers(s): Raphael Derek Hochberg
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
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| 17-00183 | 05/26/2017 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Christopher Manuel Rodriguez
Respondent(s): James Acosta
Respondent Lawyers(s): James P. Acosta
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
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| 13-03433 | 02/11/2015 | Claimant(s): Nicholas Cacace
Claimant Lawyers(s): Nicholas Cacace
Respondent(s): MetLife Securities Inc
Respondent Lawyers(s): Wendy J. Mellk
Arbitrator(s): Joseph A. Vallo, Kenneth L. Stewart, John F. Duane
Hearing Site: New York, NY
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| 10-04970 | 11/14/2012 | Claimant(s): Ray Gatten
Claimant Lawyers(s): John G. Rich
Respondent(s): John Sadowski, Gatten Sadowski Inc.
Respondent Lawyers(s): David A. Shargel
Arbitrator(s): Donald J. Zoeller, Glen R. Stifelman, John F. Duane
Hearing Site: New York, NY
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| 06-03048 | 12/24/2007 | Claimant(s): Adam Aspes, Catherine Lesterhuis, Curtis Thompson, Jacob Morton, Scott Hootman
Claimant Lawyers(s): Latanishia D. Watters
Respondent(s): Brian Foley, Daniel Joyce, Michael Braun, William Devin Jr., Moor & Cabot Inc., Sal Financial Services., d/b/a Ster, Sterne Agee Capital Markets., Sterne, Agee & Leach.
Respondent Lawyers(s): Latanishia D. Watters, Sander A. Rikleen
Arbitrator(s): Paul J. Camilleri, David Finnegan, John F. Duane
Hearing Site: New York, NY
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