| 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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