| 19-03452 | 06/09/2020 | Claimant(s): David Manning
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Institutional Securities, L.L.C.
Respondent Lawyers(s): James K. Langdon
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
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| 20-00392 | 06/09/2020 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Deependra Logani
Respondent Lawyers(s): Deegendra Kumar Logani
Arbitrator(s): John J. Jordan
Hearing Site: Philadelphia, PA
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| 16-02545 | 06/08/2020 | Claimant(s): Pouya Lavian, Robert Decker, Scott Pedvis
Claimant Lawyers(s): Read McCaffrey
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Edward M. Yennock
Arbitrator(s): Noel B. Berman, Nino Armienti, Steven Skulnik
Hearing Site: New York, NY
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| 19-02877 | 06/08/2020 | Claimant(s): William Laheta
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Peter Ordower
Hearing Site: Chicago, IL
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| 19-03019 | 06/08/2020 | Claimant(s): Felippe Alves
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): National Securities Corporation, John Thomas Financial, Joseph Stevens & Co..
Respondent Lawyers(s): Emily A. Hayes, Fabio Migliaccio, Maria Cummings
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
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| 19-03315 | 06/08/2020 | Claimant(s): Steven Southworth
Claimant Lawyers(s): Frances Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Peter A. Goldman
Hearing Site: New York, NY
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| 19-03636 | 06/08/2020 | Claimant(s): James Buto
Claimant Lawyers(s): Alexander K. Cox
Respondent(s): Keybanc Capital Markets Inc., UVEST Financial Services Group.
Respondent Lawyers(s): Jeffrey S. Dunlap, Sara Davis
Arbitrator(s): Nicole T. LeBoeuf
Hearing Site: Dallas, TX
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| 20-00090 | 06/08/2020 | Claimant(s): Christopher Mise
Claimant Lawyers(s): Brian Luther
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Maurice M. Feller
Hearing Site: Columbia, SC
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| 20-00211 | 06/08/2020 | Claimant(s): FSC Securities Corporation
Claimant Lawyers(s): Gregory M. Curley
Respondent(s): David Hergert
Respondent Lawyers(s): Charles H. Peckham
Arbitrator(s): Jude A Smith
Hearing Site: Houston, TX
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| 19-00330 | 06/05/2020 | Claimant(s): Ignatius Desimone
Claimant Lawyers(s): Edward Hernstadt
Respondent(s): Mirae Asset Securities (USA) Inc.
Respondent Lawyers(s): Dov Kesselman
Arbitrator(s): Mary P. Bass, Jay Alan Kranis, Clifford D. Dawkins
Hearing Site: New York, NY
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