21-00377 | 01/07/2022 | Claimant(s): David Hays Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Parkland Securities Respondent Lawyers(s): Alexandra Hutchinson Arbitrator(s): Peter Ordower Hearing Site: Indianapolis, IN
| | |
21-00536 | 01/07/2022 | Claimant(s): Richard Hellberg Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Hornor, Townsend & Kent Respondent Lawyers(s): George D. Fagan Arbitrator(s): Jim Geiger Hearing Site: Philadelphia, PA
| | |
21-01416 | 01/06/2022 | Claimant(s): Justin Vaccaro Claimant Lawyers(s): Brian Luther Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Bruce W. Barnes Arbitrator(s): Joseph C. Roberts Hearing Site: Portland, OR
| | |
19-03119 | 01/05/2022 | Claimant(s): Daniel Schreiner Claimant Lawyers(s): Douglas W. Hyman Respondent(s): Ameriprise Financial Services, Stephen Ross Respondent Lawyers(s): Jeffrey L. Rudd, Julie Fleming-Wolfe Arbitrator(s): Michael S. Jordan, Susan L. Walker, William John Lillwitz Hearing Site: Chicago, IL
| | |
21-01124 | 12/30/2021 | Claimant(s): Dao Phan Claimant Lawyers(s): Dochtor Kennedy Respondent(s): WMA Securities. Respondent Lawyers(s): Clive Slovin Arbitrator(s): Susan C Lushing Hearing Site: New York, NY
| | |
21-01041 | 12/29/2021 | Claimant(s): Brian O'Neil Claimant Lawyers(s): Jeffrey R. Thomas Respondent(s): Triad Advisors LLC Respondent Lawyers(s): James V. Noblett Arbitrator(s): Richard M. Reider, Steven Meyrich, Mari C. Bush Hearing Site: Denver, CO
| | |
20-02919 | 12/28/2021 | Claimant(s): Everest Wong Claimant Lawyers(s): Chelsea Masters Respondent(s): WAMU Investments. Respondent Lawyers(s): James H. Davis Arbitrator(s): Philip Aaron Tymon Hearing Site: San Francisco, CA
| | |
21-01403 | 12/28/2021 | Claimant(s): Nicholas Yrizarry Claimant Lawyers(s): Christina Vourakis Respondent(s): Securities Service Network. Respondent Lawyers(s): Records Custodian Arbitrator(s): Erik R. Siering, Barton J. Brewer, Lawrence Craig Williams Hearing Site: Los Angeles, CA
| | |
21-02619 | 12/28/2021 | Claimant(s): James Candella Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Karl A. Vogeler Hearing Site: Nashville, TN
| | |
19-02974 | 12/23/2021 | Claimant(s): Douglas Prezzano, Eric Miller, Heinz Jaeggi, Roger Wacker, Stefan Lendi, Steven Soja, Stewart Bosley Claimant Lawyers(s): Barry R. Lax Respondent(s): Credit Suisse Securities (USA) LLC Respondent Lawyers(s): Dennis S. Ellis Arbitrator(s): Barbara M. Zak, Marc S. Joseph, Cynthia Cashman Makin Hearing Site: Los Angeles, CA
| | |