23-00019 | 06/16/2023 | Claimant(s): Spartan Capital Securities Claimant Lawyers(s): Robert Fitzpatrick Respondent(s): Jorge Garzon Baquero Respondent Lawyers(s): Jorge L. Garzon Baquero Arbitrator(s): Howard J. Stiefel Hearing Site: New York, NY
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22-00377 | 06/16/2023 | Claimant(s): James Gualandi Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): Edward Jones Respondent Lawyers(s): Roger P. Meyers Arbitrator(s): Philip J. Glick, Jacqueline Stanley Lustig, Elizabeth Horne Hearing Site: Chicago, IL
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22-01520 | 06/16/2023 | Claimant(s): Richard Barnett Claimant Lawyers(s): Samantha Pastor Respondent(s): CFD Investments. Respondent Lawyers(s): Brent Owens Arbitrator(s): Suzanne L. Ulicny Hearing Site: Detroit, MI
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22-02418 | 06/16/2023 | Claimant(s): Christopher Tong Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Madelon M. Rosenfeld Hearing Site: New York, NY
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22-01815 | 06/16/2023 | Claimant(s): BGC Financial, L.P. Claimant Lawyers(s): Nirav Shah Respondent(s): David Nierenberg, TJM Investments Respondent Lawyers(s): Jonathan Sack Arbitrator(s): Larry Kars, Charles L. Henderson, Virginia Mary Hunt Hearing Site: New York, NY
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22-02174 | 06/16/2023 | Claimant(s): Intercoastal Capital Markets. Claimant Lawyers(s): Michael A. Gross Respondent(s): Michael D'Addabbo Respondent Lawyers(s): Michael L. D'Addabbo Arbitrator(s): Joseph Charles Smolira, James A. McIntosh, Matthew Jay Mezzatesta Hearing Site: Boca Raton, FL
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22-02296 | 06/15/2023 | Claimant(s): Mark Thorndyke Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Michael F. Jordan Hearing Site: Chicago, IL
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22-00041 | 06/15/2023 | Claimant(s): James Devary Claimant Lawyers(s): Orit Goldring Respondent(s): National Securities Corporation, Forte Capital Group. Respondent Lawyers(s): Seth N. Bursky, Steven E. Mellen Arbitrator(s): Louis M. Parker, Marcia A. Herrmann, Renee Bryna Gerstman Hearing Site: Phoenix, AZ
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23-00225 | 06/15/2023 | Claimant(s): Eric Yamin Claimant Lawyers(s): David E. Robbins Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Madelyn A. Levy, Edward W. Morris, Gerald M. Levine Hearing Site: New York, NY
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22-02404 | 06/14/2023 | Claimant(s): Kimberlee Orth Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Morton S. Bunis Hearing Site: Wilmington, DE
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