| 22-00830 | 06/22/2023 | Claimant(s): Donald Baxter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FFP Securities., Primeline Securities Corp., SII Investments.
Respondent Lawyers(s): Eric A. Michaels, Fred F. Liebau, Jeremy Wooden
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Wichita, KS
| | |
| 22-02421 | 06/20/2023 | Claimant(s): Paolo Thompson
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Leslie Bernard Jallans, Lynne M. Gomez, Montie G. Grimes
Hearing Site: Houston, TX
| | |
| 22-01558 | 06/20/2023 | Claimant(s): Amy Seltzer, David Neumann, James Ellis
Claimant Lawyers(s): Todd Ratner
Respondent(s): Anthony Bambocci, Brandienne Tarbert, Christopher Tarbert
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Peter Glasser, Gregory Hunter Mathews, Kenneth Alan Eisner
Hearing Site: Pittsburgh, PA
| | Expungement |
| 22-02508 | 06/16/2023 | Claimant(s): Anouchka Balog
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
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| 23-00097 | 06/16/2023 | Claimant(s): Samuel Bosch Schultz
Claimant Lawyers(s): Samuel Juan Alberto Bosch Schultz
Respondent(s): Frederick Bates
Respondent Lawyers(s): Jeffrey Tew
Arbitrator(s): Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | |
| 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
| | |
| 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
| | Expungement |
| 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
| | |
| 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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