| 21-01978 | 05/09/2022 | Claimant(s): Anthony Leopizzi
Claimant Lawyers(s): Zachary Morse
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Louis David Huss
Hearing Site: Boca Raton, FL
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| 21-01401 | 04/21/2022 | Claimant(s): Brian Lombardi
Claimant Lawyers(s): Joshua Bautz
Respondent(s): GunnAllen Financial, Aegis Capital Corp.
Respondent Lawyers(s): Kevin Daniels, Kevin Meade
Arbitrator(s): Marc S. Dobin, Howard Bernstein, Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 21-02031 | 04/05/2022 | Claimant(s): Paul DiPietro
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Dawson James Securities.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
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| 21-02705 | 04/04/2022 | Claimant(s): Adam Fetterman, David Raphan, Sean Fetterman
Claimant Lawyers(s): Joseph C. Coates
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Christopher J. Klein, Thomas Mead Santoro, George D. Davidson
Hearing Site: Boca Raton, FL
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| 21-01841 | 03/25/2022 | Claimant(s): Jason Stephens
Claimant Lawyers(s): Harris Freedman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Barry David Thorpe
Hearing Site: Boca Raton, FL
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| 21-01990 | 03/25/2022 | Claimant(s): Glen Anderson
Claimant Lawyers(s): Zachary Morse
Respondent(s): Rainmaker Securities
Respondent Lawyers(s): Dominic Cioffi
Arbitrator(s): Louis David Huss
Hearing Site: Boca Raton, FL
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| 21-00101 | 03/17/2022 | Claimant(s): William Valle
Claimant Lawyers(s): William Isaac Valle
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Ellen J. Abrams, Richard S. Herman, Krista Fanning Kersey
Hearing Site: Boca Raton, FL
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| 21-01874 | 03/16/2022 | Claimant(s): Javier Garcia
Claimant Lawyers(s): Javier Garcia
Respondent(s): UBS International Inc.
Respondent Lawyers(s): John B. Clark
Arbitrator(s): William Kent Brown, Virginia Lee Perez-Berry, Scott Joseph Pagano
Hearing Site: Boca Raton, FL
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| 21-01637 | 03/14/2022 | Claimant(s): Charles Wallace
Claimant Lawyers(s): Cory Zadanosky
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gina Shlaferman
Arbitrator(s): Robert G. Geeseman
Hearing Site: Boca Raton, FL
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| 21-02982 | 03/04/2022 | Claimant(s): Carlos Vargas
Claimant Lawyers(s): Thomas McHugh
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie Holder
Arbitrator(s): Gerald Silverman
Hearing Site: Boca Raton, FL
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