| 19-03592 | 10/04/2021 | Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): Mitch Deane
Respondent(s): Leo Rosner
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cleveland, OH
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| 20-01263 | 10/04/2021 | Claimant(s): Raymond Borota
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Emmett A Larkin Company., Pacific Cortez Securities Incorporated, Salomon Grey Financial Corporation
Respondent Lawyers(s): Gordon Hing, Kyle Rowe, Troy Flowers
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
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| 20-02708 | 10/04/2021 | Claimant(s): Robert Dunn
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Linda J. Baer
Hearing Site: New York, NY
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| 21-00363 | 10/04/2021 | Claimant(s): Mihir Patel
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Preston Martin
Arbitrator(s): Richard W. Cutler, Robert E. Anderson, Jonathan Ashley Pomeroy
Hearing Site: New York, NY
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| 20-00569 | 10/01/2021 | Claimant(s): Amherst Pierpont Securities
Claimant Lawyers(s): Anthony Paduano
Respondent(s): Keith Wakefield
Respondent Lawyers(s): Keith Wakefield
Arbitrator(s): George Pinckney Shingler
Hearing Site: Atlanta, GA
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| 20-02772 | 10/01/2021 | Claimant(s): Kenneth Arellano
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Syracuse, NY
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| 21-00335 | 10/01/2021 | Claimant(s): Logan Shalmi
Claimant Lawyers(s): Cory Zadanosky
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William M. Cassarini
Arbitrator(s): Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
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| 21-02087 | 10/01/2021 | Claimant(s): Ronald Giancristofaro
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Alice E. Winkler
Hearing Site: New York, NY
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| 18-00553 | 09/30/2021 | Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Dean Decker
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Michael Harrison, Laurent C. Vonderweidt, Cynthia Cashman Makin
Hearing Site: Los Angeles, CA
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| 20-02714 | 09/30/2021 | Claimant(s): Barry Kiront
Claimant Lawyers(s): John D. Stewart
Respondent(s): Monroe Parker Securities.
Respondent Lawyers(s): Alan Lipsky
Arbitrator(s): Noah Jonathan Hanft
Hearing Site: New York, NY
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