| 21-00702 | 11/03/2021 | Claimant(s): Anibal Drelichman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Oppenheimer & Co.., Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, Nicola Anne Murphy
Arbitrator(s): Michael James Malone
Hearing Site: Washington, DC
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| 21-01267 | 11/03/2021 | Claimant(s): Christian Risenmay
Claimant Lawyers(s): Jake Jacobsen
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
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| 20-03645 | 11/02/2021 | Claimant(s): Javier Ovalles
Claimant Lawyers(s): Javier Ovalles
Respondent(s): Transamerica Investors Securities Corp.
Respondent Lawyers(s): Misty A. Murray
Arbitrator(s): William W. Haskell, Arocles Aguilar, Douglas J. Pavese
Hearing Site: San Francisco, CA
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| 20-04117 | 11/02/2021 | Claimant(s): Kurt Kerrigan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
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| 21-01307 | 11/02/2021 | Claimant(s): Stephen Biesinger
Claimant Lawyers(s): Jake L. Jacobsen
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
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| 19-00633 | 11/01/2021 | Claimant(s): Chukwuemeka Nwasike
Claimant Lawyers(s): Chiquita Hall-Jackson
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Samuel Mauch
Arbitrator(s): Mark L Miller, Leon Fox, Alicia Hilton
Hearing Site: Chicago, IL
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| 20-00870 | 11/01/2021 | Claimant(s): Timothy Hourihan
Claimant Lawyers(s): Francis D. Dibble
Respondent(s): Dorene Mulholland, Voya Financial Partners, Voya Retirement Ins.and Annuity Co.
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Jim Geiger, Mae A. Brudner, Franklin Sariel Schwerin
Hearing Site: Hartford, CT
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| 20-03795 | 11/01/2021 | Claimant(s): Edward Condon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Financial Products
Respondent Lawyers(s): Peter Horacek
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY
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| 21-00277 | 11/01/2021 | Claimant(s): Kevin Saia
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Calton & Associates.
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Ronald Harris Kisner
Hearing Site: New York, NY
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| 19-01829 | 10/29/2021 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Aime Dempsey
Respondent(s): Keith Melanson
Respondent Lawyers(s): Louis M. Ciavarra
Arbitrator(s): Arthur J. Giacomarra, Gene M. Bauer, Brady James Hermann
Hearing Site: Boston, MA
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