| 19-01686 | 12/03/2021 | Claimant(s): Swan Shen
Claimant Lawyers(s): Jeremy L Bartell
Respondent(s): Cuna Brokerage Services.
Respondent Lawyers(s): Jennifer G. Chawla
Arbitrator(s): Richard J. Grahn, Arthur J. Giacomarra, Mark Andrew Helman
Hearing Site: Boston, MA
| | |
| 21-00901 | 12/03/2021 | Claimant(s): David Bindelglass
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Joan M. Traub
Hearing Site: Jersey City, NJ
| | |
| 20-03094 | 12/02/2021 | Claimant(s): Joseph Roop
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kalos Capital.
Respondent Lawyers(s): John Dillon
Arbitrator(s): Mary E. Woytek
Hearing Site: Charlotte, NC
| | |
| 21-00920 | 12/02/2021 | Claimant(s): Chunyen Wang
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Joan M. Traub
Hearing Site: Jersey City, NJ
| | |
| 21-01438 | 12/02/2021 | Claimant(s): Williams Butcher
Claimant Lawyers(s): Seth Ian Rubinson
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Myra P. Nicholson
Arbitrator(s): Thomas A. Martin, Anita Lynne Wiggins, Jeff Kilgore
Hearing Site: Houston, TX
| | |
| 19-01231 | 12/01/2021 | Claimant(s): Mamdoh Abas
Claimant Lawyers(s): Darren Veracruz
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Roberta Haft, Michael Harrison, Nicholes W. Ghnouly
Hearing Site: Los Angeles, CA
| | |
| 20-03195 | 12/01/2021 | Claimant(s): Jason Zahtila
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): American Capital Partners
Respondent Lawyers(s): John Gardini
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
| | |
| 21-00357 | 12/01/2021 | Claimant(s): Thomas Seiler
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Frank P. Santangelo, Robert C. Scanlan, Lorrie E Whitfield
Hearing Site: Philadelphia, PA
| | |
| 21-01149 | 12/01/2021 | Claimant(s): Breton Williams
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Maya Steinitz
Hearing Site: Chicago, IL
| | |
| 19-02079 | 11/30/2021 | Claimant(s): Joe King, Lynn Faust, Michael Faust
Claimant Lawyers(s): Debra A. Jenks, Marc S. Dobin
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Louis F. Mendez
Arbitrator(s): Suzanne E. Reynolds-Brady, Cindy L. Anderson, Meeta Alberta Bass
Hearing Site: Tampa, FL
| | |
