| 22-01402 | 12/20/2022 | Claimant(s): Damien Bertucelli
Claimant Lawyers(s): Kimberly A. Koves
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Karimu F. Hill-Harvey, Richard R. Logsdon, Roger G. Young
Hearing Site: Tampa, FL
| | |
| 20-00159 | 12/19/2022 | Claimant(s): William Barkow
Claimant Lawyers(s): Richard Roth
Respondent(s): Joseph Alagna, Stephan Stein, Joseph Gunnar & Co. LLC
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Daniel Robbins, Peter McClellan Wright, Vivian Rivera Drohan
Hearing Site: New York, NY
| | |
| 22-00242 | 12/19/2022 | Claimant(s): Gregory McLean
Claimant Lawyers(s): Stuart E. Finer
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Greg Curley, Esq.
Arbitrator(s): Ira A. Auerbach
Hearing Site: Syracuse, NY
| | |
| 22-00291 | 12/19/2022 | Claimant(s): Kerry Moy
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | |
| 22-00560 | 12/19/2022 | Claimant(s): Erin Daniels
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BMO Harris Financial Advisors.
Respondent Lawyers(s): Maria L. Kreiter
Arbitrator(s): Floyd Gerry Hoffman
Hearing Site: Phoenix, AZ
| | |
| 22-00824 | 12/19/2022 | Claimant(s): William Krebs
Claimant Lawyers(s): Sarah Ali Burroughs
Respondent(s): Pension Planners Securities., Voya Financial Advisors.
Respondent Lawyers(s): Christina Vourakisorate Office
Arbitrator(s): Michael W. Burnett, Milton N. Gross, Cherie S. Lewis
Hearing Site: Los Angeles, CA
| | |
| 22-00342 | 12/16/2022 | Claimant(s): Bobby James
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): VSR Financial Services., EDI Financial., Rushmore Securities Corporation
Respondent Lawyers(s): David Feldstein, Dewey Malone Moore, Martin Prinz
Arbitrator(s): Frances Johnson Wright, Franklin Lewis Broyles
Hearing Site: Dallas, TX
| | |
| 22-00505 | 12/16/2022 | Claimant(s): Bradley Ford
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Transamerica Financial Advisors., USA Financial Securities Corporation
Respondent Lawyers(s): Andrea McGrew, Susan D. Duff
Arbitrator(s): Amelia F. Adams
Hearing Site: Louisville, KY
| | |
| 21-00034 | 12/15/2022 | Claimant(s): Mark Birringer
Claimant Lawyers(s): John David Singer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Thomas Michael Genovese, Matthew D Arbit, Robert Joseph Musur
Hearing Site: Chicago, IL
| | |
| 21-00148 | 12/15/2022 | Claimant(s): Truist Investment Services.
Claimant Lawyers(s): Jeffrey M. Lichtstein
Respondent(s): Christopher Walter
Respondent Lawyers(s): Christopher Russell Walter
Arbitrator(s): Shelley Simons Korch, Kathy Davidson Ireland, James Ray Eyler
Hearing Site: Baltimore, MD
| | |
