| 18-02137 | 06/27/2019 | Claimant(s): David Wren
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Morgan Stanley & Co., Citigroup Global Markets., Cetera Advisors
Respondent Lawyers(s): David I. Hantman, Jeremy S. Winer, Jeremy Carr
Arbitrator(s): Joseph H. Cerame
Hearing Site: Newark, NJ
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| 18-00557 | 10/22/2018 | Claimant(s): Charles Byrnes
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): Christina Vourakis
Arbitrator(s): Joseph Charles Kennedy
Hearing Site: Boston, MA
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| 17-02953 | 06/06/2018 | Claimant(s): Michael Butterworth
Claimant Lawyers(s): Edwin L. Stock
Respondent(s): Equity Services., Hornor, Townsend & Kent., MML Investors Services
Respondent Lawyers(s): Derek C. Anderson, George D. Fagan, Julie E. Ravis
Arbitrator(s): Louis H. Miron, Edward Blumstein, Glenn J. Hansen
Hearing Site: Wilmington, DE
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| 17-01548 | 03/15/2018 | Claimant(s): Paisu Kang
Claimant Lawyers(s): David M. Saperstein
Respondent(s): Equity Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
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| 16-03371 | 12/22/2017 | Claimant(s): Fillip Gershon
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): David John Reilly
Hearing Site: New York, NY
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| 16-03366 | 09/12/2017 | Claimant(s): Fillip Gershon
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Smitham
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
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| 17-00608 | 08/03/2017 | Claimant(s): Andrew Gentiluomo
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Equity Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Thomas B. Corey, Edith N. Dinneen, Charles Robert Moore
Hearing Site: Raleigh, NC
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| 08-01694 | 05/22/2009 | Claimant(s): Gregory Glenn
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Amy Melner, UBS Financial Services Inc., Lisa Cregan
Respondent Lawyers(s): Tracy A. Miller
Arbitrator(s): Daniel J. Lind, Eugene R. Nielson, Edwin J. Buckley
Hearing Site: Phoenix, AZ
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| 08-02895 | 04/30/2009 | Claimant(s): Mark Moran
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jerry M. Santangelo
Arbitrator(s): George N. Roy, Thomas P. Delnoce, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
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| 08-00346 | 02/23/2009 | Claimant(s): Robert Drake
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Felicity A. Fowler
Arbitrator(s): James R. Augustine, W. Merrill Glasgow, Richard F. Dole
Hearing Site: Houston, TX
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