| 20-01054 | 11/19/2020 | Claimant(s): Amy Webster
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): John D. Mattingly
Hearing Site: Atlanta, GA
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| 19-01756 | 01/29/2020 | Claimant(s): Steven Goldberg
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Vidya A. Mirmira
Arbitrator(s): Steven Irving Platt
Hearing Site: Baltimore, MD
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| 19-00262 | 07/11/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Roy Cederfranco
Respondent Lawyers(s): Roy CederFranco
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
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| 17-00716 | 06/24/2019 | Claimant(s): Christopher Jansen
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): Jessica E. Levine
Arbitrator(s): Joseph H. Cerame, F. Peter Phillips, Bruce Edward Walenczyk
Hearing Site: Newark, NJ
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| 17-02427 | 04/03/2019 | Claimant(s): Matthew Dodds
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Eric G. Hoffman
Arbitrator(s): John B. Myers, Richard E. Castiglioni, Andrew Daniel Levine
Hearing Site: New York, NY
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| 18-03364 | 02/06/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Helen Andrews
Respondent Lawyers(s): Helen Thomasine Andrews
Arbitrator(s): Paul S. Biederman
Hearing Site: New York, NY
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| 17-02332 | 06/22/2018 | Claimant(s): Stephen Seremetis
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): John T. McGuire
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: New York, NY
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| 17-00416 | 05/03/2018 | Claimant(s): Jeremy Lansat, Joel Lansat
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Morgan Stanley, Citigroup Global Markets.
Respondent Lawyers(s): Christopher M. Sacco, Joelle Simms
Arbitrator(s): Mark C. Perry, Ronald F. Rohe, Monroe Mitchel
Hearing Site: Boca Raton, FL
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| 17-01843 | 04/27/2018 | Claimant(s): Avinash Daswani
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
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| 17-01549 | 04/26/2018 | Claimant(s): Peter Marketos
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Oppenheimer & Co.., Raymond, James & Associates.
Respondent Lawyers(s): John T. McGuire, Robert M. Rudnicki
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
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