| 19-03694 | 09/14/2020 | Claimant(s): Paul Ewing
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Vestax Securities Corporation
Respondent Lawyers(s): Richard Dunstan
Arbitrator(s): Gregory D. Hoffmann
Hearing Site: Kansas City, MO
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| 18-00351 | 01/23/2020 | Claimant(s): Samuel Adams
Claimant Lawyers(s): David E Rothstein
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Ashley Kutz Kelly
Arbitrator(s): Gregory D. Hoffmann, Patricia Ann Tracey, Bruce W. Bennett
Hearing Site: Columbia, SC
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| 18-03159 | 11/11/2019 | Claimant(s): Nicole Muir
Claimant Lawyers(s): Andre R. Perron
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Jeffrey J. Kalinowski
Arbitrator(s): Gregory D. Hoffmann, David Schwartzberg, Yuli Kotler
Hearing Site: Tampa, FL
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| 18-03601 | 01/21/2019 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Rameshwar Ramcharran
Respondent Lawyers(s): Rameshwar Ramcharran
Arbitrator(s): Gregory D. Hoffmann
Hearing Site: Tampa, FL
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| 15-02425 | 05/04/2018 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Alice Bates, James Johnson, Jeffrey Hughes, Robert Samson, Tyson Ray, William Finke
Respondent Lawyers(s): Lisa S. Fildes, Matthew B. Baum, William George Finke
Arbitrator(s): Langfred W. White, Gregory D. Hoffmann, James Arthur Taylor
Hearing Site: Tampa, FL
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| 17-03056 | 03/28/2018 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Lindsay E. Wuller
Respondent(s): Leslie Slaughter
Respondent Lawyers(s): Leslie Ann Slaughter
Arbitrator(s): Gregory D. Hoffmann
Hearing Site: Columbia, SC
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| 17-01262 | 12/26/2017 | Claimant(s): Scott Jaffe
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kurt T. Kalberer
Arbitrator(s): Gregory D. Hoffmann
Hearing Site: Tampa, FL
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| 15-01664 | 07/18/2016 | Claimant(s): Tommy Ayala-Rivera
Claimant Lawyers(s): Tommy Ayala-Rivera
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Steven A. Siegel
Arbitrator(s): Gregory D. Hoffmann, Donald N. Malawsky, Gary E. Marcus
Hearing Site: Tampa, FL
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| 14-00694 | 03/02/2015 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Francisco Savigne
Respondent Lawyers(s): Jackie Savigne
Arbitrator(s): Gregory D. Hoffmann
Hearing Site: Tampa, FL
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