| 22-01608 | 03/30/2023 | Claimant(s): Michael Cifelli
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 22-00176 | 02/17/2023 | Claimant(s): Douglas Kobak
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Citigroup Global Markets., Coastal Equities.
Respondent Lawyers(s): Adam Kauff, Francis J. Skinner
Arbitrator(s): Fred W. Miller, Buzz Adelman, Kathleen Jones Spilker
Hearing Site: Philadelphia, PA
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| 22-00712 | 02/15/2023 | Claimant(s): Stephen Peiffer
Claimant Lawyers(s): Jon-Jorge Aras
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Denis Dice
Arbitrator(s): Jim Geiger, Lisette Lazinger Tarragano, George Aleman
Hearing Site: Philadelphia, PA
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| 22-01249 | 12/20/2022 | Claimant(s): Stanley Cooper
Claimant Lawyers(s): Denis Dice
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Jim Geiger, Alan J. Blocher, Thomas R Nathan
Hearing Site: Philadelphia, PA
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| 22-01013 | 12/07/2022 | Claimant(s): James Leo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Summit Financial Services Group.
Respondent Lawyers(s): Charles Sax
Arbitrator(s): John T. Hausladen, Joseph J. Dougherty, Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 21-02784 | 10/07/2022 | Claimant(s): Fred Horrocks
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MMLInvestors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Thomas E Kopil
Hearing Site: Philadelphia, PA
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| 22-00331 | 09/13/2022 | Claimant(s): Gerald Preschutti
Claimant Lawyers(s): Stephan Louviere
Respondent(s): BCG Securities.
Respondent Lawyers(s): Jessica E. Levine
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 22-00228 | 08/30/2022 | Claimant(s): Timothy Flatley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Kristina J. Branstetter
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
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| 22-00507 | 08/24/2022 | Claimant(s): Ayad Amary
Claimant Lawyers(s): James P Galvin
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Lawyers(s): Julie Calderon Rizzo
Arbitrator(s): Louis P. Wagman, Hiren B Patel
Hearing Site: Philadelphia, PA
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| 22-00761 | 08/24/2022 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Kristina J. Branstetter
Respondent(s): Lawrence Hubert
Respondent Lawyers(s): Lawrence James Hubert
Arbitrator(s): George Forest Bingham
Hearing Site: Philadelphia, PA
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