| 22-00987 | 08/02/2022 | Claimant(s): Trevor Fried
Claimant Lawyers(s): Amrit P Singh
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 21-02711 | 07/19/2022 | Claimant(s): Charles Fischer
Claimant Lawyers(s): Harris Freedman
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 20-03988 | 07/05/2022 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Elio F. Martinez
Respondent(s): David Sauer
Respondent Lawyers(s): Victor Bayata
Arbitrator(s): Steven Gerard Goerke, Gloria F. Katz, Dorrit E Nelson
Hearing Site: Boca Raton, FL
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| 22-00229 | 06/30/2022 | Claimant(s): Mario Kafetzis
Claimant Lawyers(s): Mario Kafetzis
Respondent(s): Lloyd Shepetin, Prakash Gupta, Essex Securities LLC
Respondent Lawyers(s): Lloyd E. Shepetin, Prakash Gupta
Arbitrator(s): Donna Greenspan Solomon
Hearing Site: Boca Raton, FL
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| 20-03226 | 06/28/2022 | Claimant(s): Raquel Gonzalez Chavez
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Citigroup Global Markets., Popular Securities.
Respondent Lawyers(s): Adam M. Kauff, Maria T. Alvarez-Santos
Arbitrator(s): Leslie L. Cooney
Hearing Site: Boca Raton, FL
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| 21-02864 | 06/28/2022 | Claimant(s): Anthony Javarone
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Leslie L. Cooney, Robert C. Harris, Stephenie Dorris
Hearing Site: Boca Raton, FL
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| 19-03358 | 06/15/2022 | Claimant(s): Lloyd Seested
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Eric Teichberg, Erica Landskroener, Frederick Schultz, J.P. Morgan Securities, Howard Rothman, Kennan Low, Scott Sturley
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Will Murphy, Brett Matthew Logan, Nancy Rosenbaum Kessler
Hearing Site: Boca Raton, FL
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| 21-01621 | 06/06/2022 | Claimant(s): Rosario Cammarata
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): UBS Financial Services Inc., Janney Montgomery Scott LLC
Respondent Lawyers(s): Jill B. Clarke, John Murphy
Arbitrator(s): Marie G. Peterson, Allen Robin, Carl Joseph Domino
Hearing Site: Boca Raton, FL
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| 21-00086 | 05/31/2022 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Justin Lowe, Avenir Private Advisors
Respondent Lawyers(s): Justin Peter Lowe
Arbitrator(s): Will Murphy, Daniel Joseph Chiodo, Doug Campbell
Hearing Site: Boca Raton, FL
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| 20-03901 | 05/19/2022 | Claimant(s): Homero Diaz
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Joanne M.F. Wilcomes
Arbitrator(s): Andrea R. Jacobs, Donna Greenspan Solomon, Harvey David Cohen
Hearing Site: Boca Raton, FL
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