| 20-02944 | 07/16/2021 | Claimant(s): Marcus Ashworth
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Morgan Keegan & Company
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Chandler R. Bridges
Hearing Site: Atlanta, GA
| | |
| 20-02977 | 07/16/2021 | Claimant(s): Joseph Silvestri
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): New England Securities Corporation
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Robert E. Anderson
Hearing Site: Jersey City, NJ
| | |
| 20-03029 | 07/16/2021 | Claimant(s): Troy Chesnut
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Avantax Investment Services.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | |
| 20-01419 | 07/15/2021 | Claimant(s): Raymond Borota
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Aegis Capital Corp.
Respondent Lawyers(s): Kevin Meade
Arbitrator(s): Mark L. Williams
Hearing Site: Dallas, TX
| | |
| 20-02539 | 07/15/2021 | Claimant(s): Jeffrey Glazer
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Oppenheimer & Co.., Capital Growth Financial, Laidlaw & Company (Uk) Ltd.
Respondent Lawyers(s): Charles Smulevitz, Michael S. Jacobs, Nicola Anne Murphy
Arbitrator(s): Anna Lascar
Hearing Site: New York, NY
| | |
| 20-03220 | 07/15/2021 | Claimant(s): Dennis Herrera
Claimant Lawyers(s): Thomas McEvoy
Respondent(s): Aegis Capital Corp., Hunter Scott Financial LLC., John Thomas Financial
Respondent Lawyers(s): Corporate Office, Kevin Meade, Peter Gouzos
Arbitrator(s): Gerald M. Levine
Hearing Site: New York, NY
| | |
| 20-00008 | 07/14/2021 | Claimant(s): Howard Alexander
Claimant Lawyers(s): Keith Markel
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): James D. Yellen, Albert Rizzo, Piotr Seweryn Wojtowicz
Hearing Site: New York, NY
| | |
| 20-02604 | 07/14/2021 | Claimant(s): Joseph Medina
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Cetera Advisors
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Robert E. Anderson
Hearing Site: New York, NY
| | |
| 20-03003 | 07/14/2021 | Claimant(s): Christopher McGee
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffrey D. Rodgers
Arbitrator(s): Philip J. Glick
Hearing Site: Kansas City, MO
| | |
| 21-00666 | 07/14/2021 | Claimant(s): Ilan Segev
Claimant Lawyers(s): David Hantman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Abigail D. Elrod
Arbitrator(s): Robert E. Anderson
Hearing Site: Boston, MA
| | |
