| 21-03093 | 06/23/2022 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jeanette E. Dennis
Respondent(s): Leo Vassallo
Respondent Lawyers(s): Joshua A. Katz
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Syracuse, NY
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| 20-01368 | 03/12/2021 | Claimant(s): Erin Murphy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Providence, RI
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| 20-01793 | 12/23/2020 | Claimant(s): Todd Roselle
Claimant Lawyers(s): Brian Luther
Respondent(s): Cambridge Investment Research., Securian Financial Services.
Respondent Lawyers(s): Richard H. Kuhlman, Richard J. Babnick
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Wilmington, DE
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| 20-01537 | 12/09/2020 | Claimant(s): Emil Baczyk
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): PNC Investments
Respondent Lawyers(s): Robert S. Whitman
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Jersey City, NJ
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| 19-02718 | 09/14/2020 | Claimant(s): Ahmiel Baum
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mel Gworek
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Pittsburgh, PA
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| 19-02021 | 06/18/2020 | Claimant(s): Kevin Fox
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Capital Financial Services.
Respondent Lawyers(s): Gordon Dihle
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Wilmington, DE
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| 19-00878 | 11/25/2019 | Claimant(s): Danny Bullock
Claimant Lawyers(s): John M. Verdecchia
Respondent(s): Signator Investors.
Respondent Lawyers(s): Gregory M. Curely
Arbitrator(s): Paul A. Auerbach, Patrick R. Westerkamp, Michael Jonathan Chazan
Hearing Site: Providence, RI
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| 18-02164 | 11/01/2019 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Jamie Nowakowski
Respondent Lawyers(s): Dennis C. Carter
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Hartford, CT
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| 18-02905 | 06/18/2019 | Claimant(s): Alfred Matarazzo
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Bradley A. Fishman
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Philadelphia, PA
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| 18-02958 | 03/15/2019 | Claimant(s): Chi-Hong Chu
Claimant Lawyers(s): Robert Moses
Respondent(s): American Portfolios Financial Services,
Respondent Lawyers(s): Frank A. Tauches
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Newark, NJ
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