| 21-00914 | 12/21/2021 | Claimant(s): Virginia Thompson
Claimant Lawyers(s): James P. Galvin
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Jill B. Clarke
Arbitrator(s): Michael Lau, Louis David Huss, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
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| 19-01783 | 12/20/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Craig Stein
Respondent(s): Jeffrey Williams
Respondent Lawyers(s): John A. Hubbard
Arbitrator(s): James M. Scutti, Marilyn Barbara Nader, Virginia Lee Perez-Berry
Hearing Site: Boca Raton, FL
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| 21-00695 | 12/20/2021 | Claimant(s): Ralph Femminella
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Gary A. Klein, Will Murphy, Isadora Velazquez-Rivas
Hearing Site: Boca Raton, FL
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| 20-00916 | 12/14/2021 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Craig Stein
Respondent(s): David Cohen
Respondent Lawyers(s): Jeffrey L. Cox
Arbitrator(s): Robert G. Geeseman, Isadora Velazquez-Rivas, Bradley Scott Goldfarb
Hearing Site: Boca Raton, FL
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| 21-00835 | 12/10/2021 | Claimant(s): John Reilly
Claimant Lawyers(s): Zachary Morse
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Nancy J. Cliff
Hearing Site: Boca Raton, FL
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| 19-01162 | 12/08/2021 | Claimant(s): Timothy Ratty
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Stephen M. Cox
Arbitrator(s): Lawrence S. Silver, Will Murphy, Anthony Oreste Arcuni
Hearing Site: Boca Raton, FL
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| 21-01593 | 12/07/2021 | Claimant(s): Nicolas Rueda
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Robert G. Falbisaner
Hearing Site: Boca Raton, FL
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| 21-00888 | 11/19/2021 | Claimant(s): Brian Kutsmeda
Claimant Lawyers(s): Cory Zadanosky
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Justin Sciabbarrasi
Arbitrator(s): Robert G. Geeseman
Hearing Site: Boca Raton, FL
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| 19-00415 | 11/18/2021 | Claimant(s): Craig Price
Claimant Lawyers(s): Neil L. Henrichsen
Respondent(s): Raymond Klahne, William Gilcher
Respondent Lawyers(s): Julie I. Taylor
Arbitrator(s): Warren D. Brown, Sidney J. Wartel, Marie Katz
Hearing Site: Boca Raton, FL
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| 20-03085 | 11/12/2021 | Claimant(s): Samuel Izaguirre
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC, Chase Investment Services Corp.
Respondent Lawyers(s): Michael A. Gross, Sara B. Davis
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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