| 19-03772 | 01/09/2023 | Claimant(s): Joshua Heapes
Claimant Lawyers(s): Jeremy L. Bartell
Respondent(s): Chad Troester, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christopher S. Koller
Arbitrator(s): Nelson P. Lovins, Denise L. Presley, Michael P. Breton
Hearing Site: Boston, MA
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| 21-00664 | 01/09/2023 | Claimant(s): Ryan Hyslop
Claimant Lawyers(s): Brandon S. Reif
Respondent(s): Chris Osborne, Curtis Peterson, Darren Pfefferman, David Bigler, David Lawrence, Morgan Stanley, Lisa Haygood, Nicholas Westendorf, Rachel Morman
Respondent Lawyers(s): Rachel Morman, Tracy L. Gerber
Arbitrator(s): Martin Jonathan Barrack, Jo-Ann C. Little, Janice L. Sperow
Hearing Site: San Diego, CA
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| 22-00514 | 01/09/2023 | Claimant(s): Eric Lyon
Claimant Lawyers(s): Harris Freedman
Respondent(s): JWGenesis Securities., National Securities Corporation, Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Emily A. Hayes, Michael Naccarato
Arbitrator(s): Louis David Huss
Hearing Site: Boca Raton, FL
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| 22-00740 | 01/09/2023 | Claimant(s): Edwin Hodder
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Leyla Bari
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Cheyenne, WY
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| 21-02942 | 01/05/2023 | Claimant(s): Christina Vozzo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Stacey Schmidt
Arbitrator(s): Catherine Stewart
Hearing Site: Jersey City, NJ
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| 22-00388 | 01/05/2023 | Claimant(s): Andrew Scheirer
Claimant Lawyers(s): Harris Freedman
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Gerald Thomas Harper
Hearing Site: Orlando, FL
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| 19-00387 | 01/03/2023 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Harry D. Frisch, Sara Kula, Claudine Caracciolo
Hearing Site: New York, NY
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| 22-00088 | 01/03/2023 | Claimant(s): Bernard Reina
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Steven Gourley, Robert E. Jenks, Zygmont Jacob Boxer
Hearing Site: Los Angeles, CA
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| 20-02213 | 12/30/2022 | Claimant(s): Morgan Stanley, Morgan Stanely Smith Barney Financing LL
Claimant Lawyers(s): Shannon L McDougald
Respondent(s): Neil Gavande
Respondent Lawyers(s): Bryan T. Forman
Arbitrator(s): Linda P. Drucker, Val D. Hornstein, Thomas Arthur Cohen
Hearing Site: San Francisco, CA
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| 20-03390 | 12/30/2022 | Claimant(s): Thea DePaola
Claimant Lawyers(s): Robert Giacovas
Respondent(s): Peter DePaola, De Paola Trading.
Respondent Lawyers(s): Richard L. Herzfeld
Arbitrator(s): Joan Maxine Secofsky, Joseph J. Arata, Jay F. Frascella
Hearing Site: New York, NY
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