| 19-00996 | 10/17/2019 | Claimant(s): Paul Mante
Claimant Lawyers(s): Alex R. Schmidt
Respondent(s): The GMS Group
Respondent Lawyers(s): Timothy J. Donohue
Arbitrator(s): Joseph H. Cerame
Hearing Site: New York, NY
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| 18-03772 | 10/04/2019 | Claimant(s): Peter Dizdar
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Joseph H. Cerame
Hearing Site: Newark, NJ
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| 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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| 17-00716 | 06/24/2019 | Claimant(s): Christopher Jansen
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): Jessica E. Levine
Arbitrator(s): Joseph H. Cerame, F. Peter Phillips, Bruce Edward Walenczyk
Hearing Site: Newark, NJ
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| 18-02409 | 01/18/2019 | Claimant(s): William Hennion
Claimant Lawyers(s): Mitra Niknam
Respondent(s): Hennion & Walsh.
Respondent Lawyers(s): Mitra E. Nikman
Arbitrator(s): Joseph H. Cerame
Hearing Site: Newark, NJ
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| 18-01095 | 10/17/2018 | Claimant(s): John Hudspeth
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Joseph H. Cerame
Hearing Site: Newark, NJ
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| 17-03218 | 07/11/2018 | Claimant(s): Brian Marzulli
Claimant Lawyers(s): Alex R. Schmidt
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Joseph H. Cerame
Hearing Site: New York, NY
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| 17-01958 | 04/19/2018 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Barry Connell
Respondent Lawyers(s): Barry Franklin Connell
Arbitrator(s): James M. Baumann, Efren Cleofe, Joseph H. Cerame
Hearing Site: Newark, NJ
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| 15-03189 | 11/17/2017 | Claimant(s): Jose Teles
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Nomura Securities International.
Respondent Lawyers(s): Jeremy T. Adler
Arbitrator(s): Jeffrey P. Bachmann, Joseph H. Cerame, Gregory J. Getz
Hearing Site: New York, NY
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| 17-01141 | 10/30/2017 | Claimant(s): Lawrence Catena
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Joseph H. Cerame
Hearing Site: Newark, NJ
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