| 22-01537 | 06/07/2023 | Claimant(s): David Pitlor
Claimant Lawyers(s): David Pitlor
Respondent(s): Garrett Wynne, Charles Schwab & Co.., TD Ameritrade., Stacy Fries
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Rochelle E. Dillard, Susan L. Walker, Matthew Rothchild
Hearing Site: Omaha, NE
| | Dismissed by Rule 12504 |
| 22-02422 | 06/07/2023 | Claimant(s): Viviana Perez Cordero
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): Sara L. Velez Santiago
Arbitrator(s): Louis David Huss
Hearing Site: San Juan, PR
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| 22-01798 | 06/07/2023 | Claimant(s): Michael Bosl
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Cheryl H. Agris
Hearing Site: New York, NY
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| 22-02033 | 06/06/2023 | Claimant(s): Molly Shrauner
Claimant Lawyers(s): Harris Freedman
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Richard W. Epstein
Hearing Site: Boca Raton, FL
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| 22-02257 | 06/06/2023 | Claimant(s): Gale Brodie
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Waddell & Reed, MSI Financial Services.
Respondent Lawyers(s): Ariel N. Brotman, Mike West
Arbitrator(s): Gary A. Hooker, Philip Aaron Tymon, Bruce J Highman
Hearing Site: San Francisco, CA
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| 22-00980 | 06/05/2023 | Claimant(s): Jeffrey Gerson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Alexander Schwed
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
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| 22-01754 | 06/05/2023 | Claimant(s): Kimberly Ripoll
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Allan R. Lazor
Hearing Site: Houston, TX
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| 22-01976 | 06/05/2023 | Claimant(s): Meris Collier
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): VSR Financial Services.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Seattle, WA
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| 22-02290 | 06/02/2023 | Claimant(s): Scott Fessler
Claimant Lawyers(s): Scott Darren Fessler
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Emily A. Hayes
Arbitrator(s): Vicki Z. Holleman, Karen Isabel Bedrosian - Richardson, Miriam Goode
Hearing Site: New York, NY
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| 22-02027 | 06/02/2023 | Claimant(s): Richard Weaver
Claimant Lawyers(s): Eric Bensky
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sarah Zimmer
Arbitrator(s): Edmund Timothy Donovan
Hearing Site: New York, NY
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