| 22-00545 | 05/19/2023 | Claimant(s): Maurice Wilde
Claimant Lawyers(s): Maurice C. Wilde
Respondent(s): Barry Sommers, Daniel Tumba, George Acevedo, J.P. Morgan Securities, Ian Fidler, Jamie Dimon, Mark LaRoe, Ricardo Penafiel, Salvatore Tiano, JPMorgan Distribution Services.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Seth L. Finkel, Lucie L. Sabella, Pansy Mullings
Hearing Site: Boca Raton, FL
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| 21-01534 | 05/18/2023 | Claimant(s): Raymond Potter
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Leslie Ruth Nydick, Thomas M. Madden, Rick Rutman
Hearing Site: New York, NY
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| 22-00519 | 05/18/2023 | Claimant(s): Michael Herman
Claimant Lawyers(s): Martin M. Berliner
Respondent(s): Securities America., Hunter Wyckoff, Matthew Cloutier, Michael Baum, Mutual of Omaha Investor Services.
Respondent Lawyers(s): Derek C. Anderson, Gregory M. Curley, Martin M. Berliner, Trenten P. Bausch
Arbitrator(s): Steven M. Feder, Mary C. Davis, K. Bruce Lang
Hearing Site: Denver, CO
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| 22-02412 | 05/18/2023 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): DeVere Dudley
Respondent Lawyers(s): DeVere Scott Dudley
Arbitrator(s): James F. Zotter
Hearing Site: Seattle, WA
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| 22-01713 | 05/18/2023 | Claimant(s): Steven Zhou
Claimant Lawyers(s): Samantha Pastor
Respondent(s): JMP Securities LLC
Respondent Lawyers(s): Andrew R. Livingston
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 22-02739 | 05/18/2023 | Claimant(s): Michael Orr
Claimant Lawyers(s): Michael Orr
Respondent(s): Laurence Allen, Michael Schunk, Nyppex
Respondent Lawyers(s): Jonathan E. Neuman
Arbitrator(s): Eugene G. P. Byrne
Hearing Site: New York, NY
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| 22-02677 | 05/17/2023 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Joseph Desapio
Respondent Lawyers(s): Joseph C. Desapio
Arbitrator(s): Judith C. Zerden
Hearing Site: New York, NY
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| 22-00921 | 05/15/2023 | Claimant(s): John Holly
Claimant Lawyers(s): Samantha Pastor
Respondent(s): JWGenesis Securities., Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Deirdre Wolff, Paul Sankovich
Arbitrator(s): Gerald Silverman
Hearing Site: Boca Raton, FL
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| 22-01027 | 05/12/2023 | Claimant(s): Daniel Dong
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ernst & Young Capital Advisors
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Morton S. Bunis
Hearing Site: New York, NY
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| 22-01666 | 05/12/2023 | Claimant(s): Joseph Kruse
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): McClellon D. Cox
Arbitrator(s): Maya Steinitz
Hearing Site: Chicago, IL
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