| 21-02682 | 06/24/2022 | Claimant(s): Gary Karch
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Carol H. Gold
Hearing Site: Philadelphia, PA
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| 21-01004 | 06/09/2022 | Claimant(s): William McCormack
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): Eric Seeley
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Philip S. Cottone, Gregory J. Spadea, Lorrie E Whitfield
Hearing Site: Philadelphia, PA
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| 21-00475 | 06/03/2022 | Claimant(s): Boomerang Capital LLC
Claimant Lawyers(s): William A. Rome
Respondent(s): Rhino Investment Partners Inc, Rhino Small Cap Financial Fund LP
Respondent Lawyers(s): Scott E. Zweigel
Arbitrator(s): Julie K. Chapin, John McGrody, Mark Ignatius Salvacion
Hearing Site: Philadelphia, PA
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| 21-01934 | 05/13/2022 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Joseph Pratt
Respondent Lawyers(s): Joseph Hersey Pratt
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Philadelphia, PA
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| 22-00009 | 05/02/2022 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Kristina J. Branstetter
Respondent(s): David Melilli
Respondent Lawyers(s): David John Melilli
Arbitrator(s): John F. Burns
Hearing Site: Philadelphia, PA
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| 21-02457 | 04/26/2022 | Claimant(s): Joslyn Ewart
Claimant Lawyers(s): Samuel E. Cohen
Respondent(s): Lincoln Investment
Respondent Lawyers(s): Jessica Levine
Arbitrator(s): Carol H. Gold, Richard Frank Colello, Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 21-02579 | 04/19/2022 | Claimant(s): Elizabeth Bennett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): PNC Investments
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Mark H. Stein
Hearing Site: Philadelphia, PA
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| 20-02051 | 04/12/2022 | Claimant(s): Robert Haas
Claimant Lawyers(s): Michael A. Nagy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Judith P. Meyer, Laura A. Kaster, George Swindasz
Hearing Site: Philadelphia, PA
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| 21-02082 | 03/25/2022 | Claimant(s): Manfred Kanther
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
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| 21-02060 | 03/23/2022 | Claimant(s): John Hanlon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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