21-00747 | 11/08/2021 | Claimant(s): Zheng Qu Claimant Lawyers(s): Erika Binnix Respondent(s): Transamerica Financial Advisors. Respondent Lawyers(s): Susan D. Duff Arbitrator(s): Robert D. Sussin Hearing Site: Los Angeles, CA
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15-03293 | 11/05/2021 | Claimant(s): Anthony Pintsopoulos Claimant Lawyers(s): Robert C. Rosen Respondent(s): Richard Rappaport, Westpark Capital. Respondent Lawyers(s): Gregg J. Breitbart Arbitrator(s): Meah Rothman Tell, George R. DeLoach, Sidney Seligman Hearing Site: Boca Raton, FL
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16-02825 | 11/05/2021 | Claimant(s): David Hirsch, James Kelly, James Whitney, Mark Hutchinson, Mary DiChristofano, Michael Board, Michael Sakach, Paul Vandenheuvel Claimant Lawyers(s): Barry R. Lax Respondent(s): Credit Suisse Securities (USA) LLC Respondent Lawyers(s): Brian E. Spang Arbitrator(s): Steven H. Vogel, Leonard Arthur Nelson, Richard Lane Miller Hearing Site: Chicago, IL
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20-03185 | 11/05/2021 | Claimant(s): Timothy Longo Claimant Lawyers(s): Thomas McEvoy Respondent(s): American Capital Partners, Trident Partners Ltd. Respondent Lawyers(s): John Gardini, Nicholas Scavone Arbitrator(s): Susan Romano Hearing Site: New York, NY
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20-03431 | 11/05/2021 | Claimant(s): Huey Luu Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Francis Vincent Dane Hearing Site: Seattle, WA
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21-00237 | 11/05/2021 | Claimant(s): ACAP Financial Inc. Claimant Lawyers(s): David S. Hunt Respondent(s): Kirk Ferguson, Alpine Securities Corporation Respondent Lawyers(s): David S. Hunt, Maranda E. Fritz Arbitrator(s): Richard M. Reider, Knute Arthur Rife, Kevin Edward Anthony Hearing Site: Salt Lake City, UT
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21-01881 | 11/05/2021 | Claimant(s): Frank Delli Carpini Claimant Lawyers(s): David I. Hantman Respondent(s): Belle Haven Investments, L.P. Respondent Lawyers(s): Brian J. Palmeri Arbitrator(s): Susan Romano Hearing Site: New York, NY
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19-03340 | 11/04/2021 | Claimant(s): Edward Jones Claimant Lawyers(s): Christopher A. Pickett Respondent(s): Ameriprise Financial Services, Michael Peterson Respondent Lawyers(s): Danya W. Blair, James E. Heavey Arbitrator(s): James A. Sigler, Paul E. Dahlman, Richard Mathew Greenspan Hearing Site: Las Vegas, NV
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20-00417 | 11/04/2021 | Claimant(s): Jeffry Schneider Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): CIBC World Markets Corp. Respondent Lawyers(s): Elizabeth R. Aylett Arbitrator(s): Allan R. Lazor Hearing Site: Houston, TX
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20-02453 | 11/03/2021 | Claimant(s): Kevin McPhee Claimant Lawyers(s): Thomas P. McEvoy Respondent(s): A. R. Baron & Co.., American Capital Partners, First United Equities Corporation, Joseph Gunnar & Co. Respondent Lawyers(s): Jeffrey Weissman, John Gardini, Legal Department, Peter Bon Viso Arbitrator(s): Selma Moy Hearing Site: New York, NY
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