| 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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| 21-02474 | 12/29/2022 | Claimant(s): Zhe Feng Zhang
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Edward Jones
Respondent Lawyers(s): Teresa J. Thong
Arbitrator(s): Kirtley M. Thiesmeyer, Jonathan D Gereige, Steve S. Baghoomian
Hearing Site: Los Angeles, CA
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| 22-01397 | 12/29/2022 | Claimant(s): Lawrence Natale
Claimant Lawyers(s): Robert J. Moses
Respondent(s): Purshe Kaplan Sterling Investments.
Respondent Lawyers(s): David M. Purcell
Arbitrator(s): Stuart M. Schwartz
Hearing Site: Albany, NY
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| 20-00885 | 12/28/2022 | Claimant(s): Jason Goodhue
Claimant Lawyers(s): Michael T. McCormack
Respondent(s): Christopher Berris, Buell Securities Corp.
Respondent Lawyers(s): Richard Slavin
Arbitrator(s): John J. Mager, Benjamin H. Green, John Michael Bergin
Hearing Site: Hartford, CT
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| 21-03043 | 12/28/2022 | Claimant(s): John Baldeck
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Igor V. Stadnik
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Seattle, WA
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| 19-03035 | 12/27/2022 | Claimant(s): Ryan Lee
Claimant Lawyers(s): Laurence Landsman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Leni D. Battaglia
Arbitrator(s): Howard W. Hirschhorn, Jay Alan Kranis, William Travis
Hearing Site: New York, NY
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